Client Regulatory Services; New Client Business Team - VP

Client Regulatory Services; New Client Business Team - VP London, England

Morgan Stanley
Full Time London, England 10.56 - 12.04 GBP Today
Job description

Client Regulatory Services; New Client Business Team - VP

Job Number:


POSTING DATE: Mar 6, 2023
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor's Degree
JOB: Other
JOB LEVEL: Vice President


Client Regulatory Services; New Client Business Team - VP

Client Onboarding and Regulatory Services (CORS) is an Operations group within ISG Operations that is responsible for adherence to client regulatory requirements during the life of the client’s relationship with Morgan Stanley. This includes Anti-Money Laundering (AML) Client Reference Screening, Know Your Client (KYC), and market regulations such as MIFID II, SFTR, UMR, Dodd Frank, EMIR, etc.

CORS have a global footprint with offices in Hong Kong, Bangalore, Tokyo, London, Glasgow, Baltimore, and New York. Our mission is to serve our clients by delivering effective and efficient regulatory services at a high level of quality and control, while striving for continuous innovative improvements that will reduce the Firm’s total operating expenses.

The team is comprised of regulatory SMEs that provide support and regulatory control for global Business Units and a variety of stakeholders across the Firm. The teams work on regulatory projects across asset classes, business units or product lines, jurisdictions, and functions in support of new or amended regulations, processes and controls that have an impact across the Firm. The team works with global stakeholders in Businesses, Legal, Compliance, Change the Bank, Technology, and various Operations teams. The team is also responsible for reviewing, processing, maintaining regulatory data and documents, and ensuring regulatory reporting setups are in place.

About Morgan Stanley

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.

What will you be doing?

This Officer level role will be in support of the EMEA Market Regulations Operations team.

    Support the activities of the team pertaining to European regulations such as SFTR, EMIR, MiFID II and UMR, by ensuring clients are onboarded with the necessary regulation information and documentation.
    Supervise daily activities of the team and ensure deliverables are being met in a timely manner.
    Delegate tasks, set deadlines, manage outcomes.
    Governance Framework- Produce management metrics and provide regular updates to management and senior leadership to track and escalate key risks
    Work with Legal, Compliance, BU, Operations and Technology to review upcoming regulations, create solutions, drive consensus, and oversee implementation in systems and processes.
    Continuous Improvement- Review and strengthen regulatory controls, both tactical and strategic.
    Sample test / 4 eye review critical regulatory processing and or exception related processes
    Escalate issues in a timely manner to regional and global leads
    Global Connectivity- Establish and cultivate excellent working relationships with regional teams and internal stakeholders across various jurisdictions. #LI-RW1


What we’re looking for:

    Direct staff and develop talent
    Set and drive regional team strategy
    Manage small and large-scale regional change initiatives
    Senior level stakeholder management
    Culture carrier
    Leadership and mentorship
    Strong subject knowledge in EMEA and UK centric market regulations, including but not limited to: MiFID II, EMIR, SFTR, Transaction Reporting
    Exceptional organisational skills and deadline management.
    Sound risk and control mindset, excellent judgement, and ability to prioritise.
    Ability to multi-task and oversee delivery of multiple initiatives and BAU issues.
    Problem solving, conflict resolution and coaching skills
    Strong communication and interpersonal skills and ability to seamlessly interact with the Business units, Compliance, and other key stakeholders.
    Ability to quickly digest new information and learn new businesses and processes.
    Ability to effectively manage time pressures and competing business priorities

What we offer:

    An international environment and future career opportunities within our division.
    Significant role in defining process quality metrics and outputs.
    Possibility to learn about the financial markets and global regulations.
    Participation in major, global projects related to regulatory changes which have been re-shaping the financial industry.
    Welcoming and inclusive environment, strong corporate values and work ethics.
    Extensive training offerings.
    Active social life, the possibility to join diverse employee networks.

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.

Equal opportunities statement

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. #LI-RW1

Client Regulatory Services; New Client Business Team - VP
Morgan Stanley
New York, United States
James P. Gorman
$10+ billion (USD)
10000+ Employees
Company - Public
Investment & Asset Management
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