Director (Avp-equivalent) Client Regulatory Services - Frankfurt am Main, Deutschland - Morgan Stanley

Morgan Stanley
Morgan Stanley
Geprüftes Unternehmen
Frankfurt am Main, Deutschland

vor 1 Woche

Lena Wagner

Geschrieben von:

Lena Wagner

beBee Recruiter
Beschreibung
Director (AVP-equivalent) Client Regulatory Services


Job Number:
3231516


POSTING DATE:
Feb 13, 2023


PRIMARY LOCATION:
Europe, Middle East, Africa-Germany-Germany-Frankfurt


EDUCATION LEVEL:
Bachelor's Degree


JOB:
Other


EMPLOYMENT TYPE:
Full Time


JOB LEVEL:
Director


DESCRIPTION

  • We are searching for Frankfurt a new team mate in the Client Regulatory Services Team job level: Director (AVPequivalent).

Client Reference Data Services (CRDS) is responsible for the creation and maintenance of Morgan Stanley party reference data for clients, issuers, and vendors for the duration of the entire business relationship.

Client Regulatory Services (CRS) is an Operations group within Shared Services and Banking Operations (SSBO) 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), Know Your Client (KYC), and other non-AML/KYC regulations such as MIFID, Dodd Frank, EMIR etc.

The Frankfurt team is comprised of regulatory SMEs that provide support and regulatory control for outsourced activities of Morgan Stanley Europe Holding SE and its subsidiaries across the European Union to MS entities globally.

The team works on cross-functional projects in support of changed or new regulations, processes and controls that have an impact on MS Germany coordinating with Suppliers, Legal & Compliance, Central Change and Technology.

Client Regulatory Services (CRS) is an Operations group within Shared Services and Banking Operations (SSBO) 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), Know Your Client (KYC), and other non-AML/KYC regulations such as MIFID, Dodd Frank, EMIR etc.


There are three Operational teams:

  • NCNB: The New Client New Business team is responsible for maintaining, reviewing, processing, and reporting on both AML and Non-AML regulatory programs.

Regulatory Refresh:

The Regulatory Refresh team is responsible for completing the AML/KYC Periodic Reviews of our clients based on their jurisdictions and AML Risk to the firm.


Client Screening Services:

The Screening team performs Initial (Level 1) review & disposition of screening alerts across Sanctions, Negative News, PEP and Client Settlement Instructions.


And three supporting teams:

Controls and Quality:

The Controls and Quality team works closely with CRS functions, Internal Risk, Audits, and Testing teams to implement a standardized approach towards the control agenda including operational procedures.


  • CTAG: The Regulatory Interpretation and Operational Advisory team works closely with GFC and Legal and Compliance to operationalize policy to ensure the team fulfils regulatory requirements.
  • CTB: The Change the Bank team works closely with Technology to implement new regulatory programs and system enhancements to improve our quality and streamline our workflows.


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:

  • Daily support of the team pertaining to the supervisory governance framework and regulatory controls with focus on AML / MiFID by executing control function
  • Prepare regular status updates and metrics to the managers and various stakeholders
  • Coordination of internal, external, and regulatory audits with internal and external stakeholder

QUALIFICATIONS

  • What we are looking for:
  • Preferrable university degree in Economics, Business Administration or equivalent
  • Preferrable first experience in Operations, Auditing, Risk Management or Compliance
  • Willingness to learn the intricate details of applicable regulatory requirements and ensure full compliance at all times
  • Preferrable knowledge and understanding of the various financial products offered across business
  • Strong communication skills with ability to aggregate detailed information for senior stakeholders
  • Attention to detail and research/investigative skills and good analytical and procedural capabilities

Skills that will help you in the role:

  • Ability to handle volume spikes and prioritize work including ad-hoc requests and projects to meet business demands in a timely manner
  • Ability to quickly digest new information and learn new businesses and processes
  • Ability to work under pressure and achieve results, whilst maintaining a professional, friendly, and focused ap
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