Regulatory Program Support Team EMEA Regional Lead - VP (Legal Entitie

Morgan Stanley
26 Jul 2017
15 Aug 2017
Contract Type

Company Profile

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. Morgan Stanley 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.

Department Profile

The Operations division is both the first line of defence for protecting Morgan Stanley's financial and reputational well-being, and an essential partner contributing to the firm's growth. Facing off to all Morgan Stanley businesses and interacting with all other parts of the Firm, the Operations division supports a complex, multi-faceted portfolio of businesses in full compliance with regulatory guidelines and the directives of the Operating Committee and Board of Directors. Members of the Operations team have a unique vantage point as the division touches all parts of the business, front to back. One of the largest divisions in the firm, Operations has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, we continually strive to improve while actively supporting the development of new businesses, structures and markets.

Team Profile

The Legal Entities Group (LEG) resides within the Data Operations function as part of SSBO. The LEG function is responsible for the input and upkeep of Legal Entities reference data for various regulatory programs including reference data for: Know Your Customer (KYC) and Client Identification Programs (CIP) in support of Anti Money Laundering (AML) policies across multiple jurisdiction; EMIR; MiFID; and regulatory tax programs e.g. CRS and FATCA

The LEG Regulatory Program Support Regional Lead will be responsible for providing run-the-bank (RTB) process and procedural support to LEG Management and Staff.

Primary Responsibilities

- Assist with day to day regulatory oversight of the LEG function on behalf of UK entities in EMEA region;
- Assist with day to day escalation between LEG processes and Operations, Compliance, Risk and business stakeholders;
- Support the development and ongoing maintenance of business requirements and regulatory rule sets for regulatory programs to be implemented into the LEG Control Framework;
- Involvement in the identification and management of process improvement projects;
- Proactively identify, analyze and articulate the impact of risk and develop/execute action plans; and
- Review and respond appropriately to exception reports and management reports designed to help manage risk (regulatory risk, operational risk, etc.), workload, and performance of staff.

Skills Required

- Understanding of markets business and product types. We would expect that the likely individual may have developed the necessary competencies in a similar role over a 10+ year period.
- Understanding of KYC and AML processes and UK regulatory environment.
- Strong organizational skills. Ability to prioritize and manage multiple priorities and meeting deadlines.
- Ability to drive change and improve daily processes in the work place delivering both capacity and control.
- Able to assess problems and provide effective, innovate solutions with confidence.
- Experience with methodologies in business process and organizational redesign experience.
- Excellent analytical and problem solving capabilities. Includes problem structuring, analysis and ability to translate information into actionable implications and recommendations.
- Facilitation, negotiation and influencing skills. Proficiency in negotiating priorities and resolving conflicts among stakeholders. Able to influence others and function effectively in a collaborative work environment. Works successfully with multidisciplinary teams.

- Bachelors degree or equivalent
- Business process redesign experience.
- Six Sigma Certification (Desired)
- Excellent written and verbal capabilities. Communicates effectively with business, technology, and senior audiences.
- Intermediate to advanced Microsoft Office Applications (MS Excel, MS Access, MS Project, MS Word, MS PowerPoint, Outlook

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise 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.