Compliance Professional

Company: 96 Morgan Stanley UK Ltd
Location: Washington
Posted on: May 5, 2025

Job Description:

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.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. We 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.About Non-Financial Risk ("NFR"):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.This role will be based in the EMEA NFR team in Glasgow with a functional reporting line to NFR in London.What will you be doing?

• Executing initiatives and projects to enhance components of the Compliance framework in line with EMEA or Global initiatives and annual plans.
• Engaging with business unit and Compliance teams to effectively manage Compliance risks, monitoring adherence with relevant regulations, requirements, and internal policy.
• Provision of second line oversight of Compliance processes and regulations across the business, providing advice to stakeholders as needed e.g., around regulatory changes or business enquiries / escalations.
• Participate in / lead as appropriate strategic projects and initiatives related to regulatory requirements in conjunction with other compliance and legal professions, including helping to scope projects, deliver workstreams and implement action plans.
  What we're looking for:
  • University degree or equivalent with strong academic credentials.
  • Experience in financial services with a leading bank, securities house, regulator or consultancy practice in an operational, control or compliance function.
  • An understanding of financial markets and products (in particular, Equities, Fixed Income, Commodities, and Investment Banking / Capital Markets) is an advantage.
  • A highly-motivated self-starter, able to manage your own workload and respond to changing priorities.
  • Familiarity with European and specifically UK compliance issues and interpreting relevant law and regulation.Skills that will help you in the role:
    • Knowledge of the EU / UK financial services regulatory landscape.
    • Excellent written and oral communication skills; able to present complex matters succinctly to a range of audiences through all levels of the organization.
    • Excellent interpersonal skills and ability to work effectively with colleagues across divisions and multiple locations.
    • Excellent time management skills with the ability to execute tasks within tight deadlines.
    • Confidence to use own initiative and apply judgement.WHAT YOU CAN EXPECT FROM MORGAN STANLEY: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.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.
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Keywords: 96 Morgan Stanley UK Ltd, Ellicott City , Compliance Professional, Other , Washington, Maryland