Senior Compliance Officer, Compliance Operations/Non-UK
Position Description
The individual's key responsibilities will include support for regulatory interactions in the UK and across the EMEA region, management of a variety of UK-based and international projects, and ownership of various operational functions within the Compliance Department, such as the EMEA Compliance Plan, Risk Assessment and Compliance management information.
Responsibilities
• Contact with regulators
o Provide support in managing relationships with the Firm's regulators.
o Co-ordinate with internal departments on regulatory submissions, including oversight of responses to thematic information requests.
o Control "close continuous" meeting agenda with the UK regulators, FCA PRA.
o Manage regulatory visits and exams, including visits to the UK by overseas regulators.
• Project delivery
o Oversee applications for new branches/subsidiaries and alterations to existing permissions/activities.
o Manage Change in Control applications, where required.
o Manage Compliance contribution to selected business and regulatory initiatives (e.g., for locations or themes where there is no/insufficient dedicated Compliance coverage).
o Lead other initiatives to enhance and improve consistency of Compliance activities across the region (e.g., training, registrations).
• Monitoring and test checks
o Conduct test checks on internal Compliance processes.
o Undertake/oversee thematic reviews of core functions/processes in the non-UK offices.
• Compliance risk assessment and planning
o Oversight of the annual Compliance Risk Assessment for EMEA, in coordination with the global process.
o Manage production of centralised annual Compliance plan for EMEA, ensuring consistency with the global plan.
• Management information
o Review and enhance current Compliance management information, for use by Compliance management, reporting to Firm management and Firm committees (e.g. Audit Committee).
o Manage production of management information.
Skills Required
• Financial services experience required.
• Degree educated or equivalent.
• Exposure to a combination of (but not necessarily all of):
o Compliance in a financial services environment;
o Regulatory interaction;
o Working across multiple jurisdictions;
o Project management.
Key attributes
• Good judgement.
• Practical and pragmatic, solution oriented.
• Well organised and adaptable.
• Able to remain focused under pressure.
• Credible with the management team.
• Clear communication.
• Attention to detail.
• Assertive and persuasive.
• Motivated, proactive and self-starting.
• Discretion, integrity.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential.
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