EMEA Client Assets Compliance Professional (Director) in Glasgow

Location: Glasgow

Level: Director (AVP)

Overview

Morgan Stanley is a global financial services firm offering investment banking, securities, investment management, and wealth management services. With more than 1,200 offices across 43 countries, the Firm’s success is built on the integrity, expertise, and commitment of its people. We promote a culture that values excellence, collaboration, and respect for diverse perspectives.

Legal and Compliance Division (LCD)

LCD comprises the Legal, Regulatory Relations, and Non-Financial Risk (NFR) departments. These groups safeguard the Firm’s reputation by ensuring compliance with global regulatory requirements and maintaining constructive relationships with policymakers and regulators.

Non-Financial Risk Organisation

The second-line NFR organisation encompasses Compliance, Global Financial Crimes, and Operational Risk. It provides a unified, consistent view of non-financial risks that may arise from failed processes, inadequate controls, environmental or infrastructure issues, or actions by employees or external parties. NFR partners with the first line to advise, challenge, monitor, and elevate risks appropriately.

Team Overview

The Infrastructure Compliance team forms part of the Global Shared Services Compliance Group. It provides second-line oversight of EMEA infrastructure-related regulatory processes and broader compliance coverage of the Firm’s Infrastructure Divisions. Core areas include Client Assets, Transaction and Regulatory Reporting, Disclosure of Interest, Client Reporting, Client Onboarding, Margin, and Clearing & Settlement.

Role Overview

The role reports to the Head of EMEA Infrastructure Compliance and contributes to the design and execution of the team’s monitoring and oversight programme, as well as providing compliance advisory support across relevant regulatory domains.

Primary Responsibilities

• Support and execute the 2nd Line monitoring and oversight programme, including checks related to Client Asset obligations.
• Provide independent oversight and challenge across Infrastructure-related regulatory obligations (e.g., Client Assets, Confirmations, Settlement and Clearing).
• Lead or support strategic projects, including scoping, workstream delivery, and action plan implementation.
• Collaborate with colleagues across regional and global NFR teams to share knowledge and promote consistency.

Required Skills and Experience

• Degree‑qualified with 4+ years of financial services experience.
• Strong understanding of Operations/Infrastructure compliance requirements (e.g., MiFID, EMIR, Client Assets, Conduct of Business).
• Experience in assurance, testing or monitoring activities.
• Clear and concise communication skills, both written and verbal.
• Strong interpersonal skills and ability to build trusted relationships across NFR and business teams.
• Analytical mindset with strong attention to detail and sound judgement.
• Ability to manage multiple tasks, work effectively under pressure, and operate with initiative.
• Commitment to continuous learning and professional development.

Diversity and Inclusion

Morgan Stanley is an equal opportunities employer committed to fostering an inclusive environment where individuals can reach their full potential. We value a workforce that reflects diverse backgrounds, experiences, and perspectives.

Certified Persons Regulatory Requirements

If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible Work Statement

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.