Regulatory Reporting Compliance Officer (Enterprise Advisory): Job Level - Director (AVP)

on-Financial Risk Organisation Overview:
The second- line Non-Financial Risk NFR organization includes the Compliance, Global Financial Crimes, and Operational Risk departments and provides a single, comprehensive, and consistent second-line view of these non-financial risks. Non-Financial Risk encompasses risks which are not financial in nature, and could have a potential economic, reputational, regulatory, financial reporting, or client impact from (i) failed or inadequate processes, data, or controls; ii) infrastructure or environmental factors; or iii) intentional or inadvertent actions of employees or external parties. The second-line NFR organization partners with the first-line business units to advise, train, manage, report, identify, analyze, and escalate non-financial risks.


Team Overview:
The Infrastructure Compliance Function is part of the Global Shared Services Compliance Group and is responsible for the second line oversight of infrastructure based regulatory processes supporting the EMEA Morgan Stanley businesses. The team also provides broader compliance support and advice to Morgan Stanley's infrastructure areas. Core areas of coverage include, but are not limited to: Disclosure of Interest, Transaction Reporting, Client Reporting, Record Keeping, Client Assets, Client Categorisation, Voice Recording and Outsourcing plus broad compliance support across Operations and Finance.

What will you be doing?
The role will encompass a wide scope of products and Compliance activity:
interpreting rules and applying judgment on practical solutions.
providing oversight and challenge to the business units with regards to complex structured transactions.
leading responses to industry focused initiatives and representing the Firm's interests in industry working groups and coordinating internal action across S&T.
involvement in regulatory visits and examinations.
execution of 2LOD monitoring program across all related reporting responsibilities.
What we're looking for:
Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate.
Product and investment banking knowledge (having worked in-house for an investment bank highly preferable).
Good understanding of EMEA Compliance issues and relevant laws and regulations.
2 years + experience in large shareholder, short selling and/or takeover panel reporting role at a complex financial institution.
- Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing.
Confident, able to use initiative, excellent judgment, analytical, good communication and organisational skills.
Strong collegial approach with ability to build relationships of trust with members of the Legal and Compliance department and employees in the business unit and support & control functions.
A clear and logical thought process with a propensity to question facts and data.
High level of attention to detail and a passion for excellence.
At least 4 years' relevant experience would generally be expected to find the skills required for this role.

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