EMEA Compliance Testing - Manager London, England
Job description
Job Number:
3228944
DESCRIPTION
As a member of the EMEA Compliance Testing Team, the candidate will have several areas of responsibility including, but not limited to, the following:
Contributing to the design and delivery of a portfolio of Compliance Tests across the business units covered by the EMEA Compliance Testing programme in line with the role and purpose of the Compliance Testing function. Focus is primarily on the key compliance risks, adopting a proportionate approach to scoping tests and completing testing efficiently to make the best use of available resources.
Planning / participating in walkthroughs / interviews with business employees responsible for the areas covered by Test reviews
Assessing and providing expertise in relation to scoping, sampling, documentation, and Quality Assurance of reviews.
Coordinating the investigation and escalation of potential issues and documentation of agreed actions plans.
Ensuring completion and detailed documentation of test work-papers, and drafting reports on tests completed
Managing closure verification of actions following review completion, including the assessment of evidence to support closure.
Preparing aspects of Compliance Testing Management Information on the outcomes and findings of completed testing.
Help enhance the Compliance testing programme as it evolves, liaising with the EMEA Compliance Coverage teams and relevant global teams, and contributing to global discussions on testing matters and sharing best practice.
QUALIFICATIONS
The ideal candidate will have Regulatory Compliance Testing/Monitoring/Assurance or Audit experience at a financial institution (preferably Investment Banking / Sales and trading experience)
Excellent communication skills — written and oral
Experience in interpreting regulatory risk, laws, or regulations
Excellent time management skills, attention to detail and ability to execute tasks within tight deadlines
Ability to facilitate meetings among stakeholders with diverse points of view
Good interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Has the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
Ability to research and resolve issues independently while working across teams to acquire information
Be self-motivated and must have the ability to work independently
Knowledge of global markets / market regulations / investment banking functions
Industry qualifications - CISI / CIA or similar certification
Previous experience of Sales & Trading, Investment Banking, and/or Investment Management, whether though Compliance experience or working within the business or other controls functions.
Ability to identify the key compliance risks in the area subject to testing and to think creatively about how these risks might manifest in practice and how a test could seek to identify this
Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions)
Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions subject to testing, challenging information received, or decision made in a constructive way
Broad understanding of the FCA and PRA Handbooks and the approach of regulators in EMEA and globally, with particular focus on US regulators
Attention to detail and proactive. Confidence to use own initiative and apply judgment in an in-house context.
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.
