At a Glance
- Tasks: Oversee regulatory reporting and ensure compliance across various business units.
- Company: Morgan Stanley is a top global financial services firm with a commitment to integrity and excellence.
- Benefits: Enjoy flexible working options, comprehensive perks, and a supportive work environment.
- Other info: Opportunities for career growth and development within a diverse and inclusive culture.
- Why this job: Join a dynamic team that values collaboration, creativity, and continuous learning.
- Qualifications: Ideal candidates are law or accountancy graduates with 2+ years in regulatory reporting.
The predicted salary is between 36000 - 60000 £ per year.
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Recruitment Sourcing Specialist Fixed Income and Equities EMEA
Morgan Stanley Overview
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.
Morgan Stanley Overview
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.
Legal And Compliance Division Overview
The professionals in the Legal and Compliance Division “LCD” provide a wide range of services to our business units. LCD is made up of the Legal, Regulatory Relations, and Non-Financial Risk departments which preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that are designed to meet regulatory requirements around the world. We also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
Non-Financial Risk Organization 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.
Role Overview
Compliance officer within the EMEA Compliance Infrastructure Coverage team, reporting to the Head of Regulatory Disclosures.
The role will involve providing regulatory oversight and challenge primarily to various business units, LCD and the operations regulatory reporting team on all issues relating to Morgan Stanley’s large shareholding, short selling, takeover panel and other related reporting responsibilities.
The role will provide oversight and challenge in relation to key initiatives relating to short selling, large position disclosures and takeover panel disclosures across ISG (Equities, Fixed Income and Commodities).
What You Will Be Doing
The role will encompass a wide scope of products and Compliance activity. Examples could include:
- 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.
- 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.
- Two 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.
- Ability to remain focused under pressure.
- Enthusiasm and aspiration to continue to learn and develop.
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what\'s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements
If t his 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.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.
Seniority level
Seniority level
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#J-18808-LjbffrRegulatory Reporting Compliance Officer in Glasgow employer: Morgan Stanley
Morgan Stanley is an exceptional employer, offering a dynamic work environment in Glasgow that fosters collaboration and innovation. With a strong commitment to employee development, comprehensive benefits, and a culture of inclusion, employees are empowered to thrive both personally and professionally. The firm’s dedication to integrity and excellence ensures that you will be part of a team that values your contributions and supports your career growth.
StudySmarter Expert Advice🤫
We think this is how you could land Regulatory Reporting Compliance Officer in Glasgow
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Morgan Stanley looking for candidates who are engaged and informed.
We think you need these skills to ace Regulatory Reporting Compliance Officer in Glasgow
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Morgan Stanley. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Morgan Stanley
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Morgan Stanley’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
