EMEA Investment Management Private Side Compliance, Executive Director

  • Competitive
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Morgan Stanley
  • 23 nov. 17 2017-11-23

See job description for details

Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

Background on the Team
The EMEA Investment Management Private Side Compliance team advises on and assists in establishing, implementing and enforcing compliance policies and procedures. The team is responsible for providing compliance oversight of the Investment Management division’s Private Side businesses, including the private equity, infrastructure and real estate investing businesses; providing advisory support, implementing regulatory change, drafting and updating policies and procedures, training personnel, and conducting monitoring and surveillance, among other activities.

Primary Responsibilities
We are looking for an experienced and high calibre individual to lead the EMEA Investment Management Private Side Compliance team, based in London.
Duties include:
- Advising and supporting the Investment Management Private Side businesses on a wide range of internal and transaction-related compliance matters
- Developing training materials and conducting training sessions; communicating compliance/regulatory updates to the business
- Interpreting European regulations and helping in implementing appropriate solutions with the business
- Drafting policies and procedures, including written supervisory procedures
- Developing a relationship with all the Central Compliance functions to streamline and leverage functions like monitoring and testing teams
- Assisting in identifying and developing modifications on the compliance program based on new business needs
- Preparing supervisory metrics
- Handling, or otherwise providing guidance and assistance to internal regulatory relations teams in connection with, the preparation of responses to regulatory inquiries and examinations related to Investment Management Private Side activities
- Participating in various projects, such as new product initiatives, global initiatives etc.
- Liaising and forming a good working relationship colleagues within Legal and Compliance on matters pertaining to Investment Management Private Side business


Skills Required
- Bachelor’s Degree (a Degree in Law, Accounting, Business or Economics a distinct advantage)
- Previous compliance-related experience gained at a top tier financial institution, law firm and/or regulator, including experience in the investment management field
- Highly analytical with strong knowledge of financial products, and solid understanding of investment management industry and relevant EMEA regional regulations and rules
- A team player who is willing to share and learn from others
- Self-starter who is able to manage effectively senior professionals in the business
- Demonstrated leadership ability, ideally with prior management experience
- Strong project management skills, and experience in handling significant regulatory change initiatives
- Detail oriented, motivated and able to multi-task in a fast paced, high pressure environment
- Exceptional written and oral communication skills
- Proficient skills using Microsoft Office systems, especially PowerPoint and Excel

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.*LI-FH1