UK Regulatory Governance role, Senior Manager

  • Competitive
  • Londres, Angleterre, Royaume-Uni Londres Angleterre GB
  • CDI, Plein-temps
  • Morgan Stanley
  • 23 juin 18 2018-06-23

See job description for details

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 Finance Division globally reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firm’s books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley’s various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley’s various businesses and its senior management team.

Primary Responsibilities

· Partner with the Regulatory Controller Functional teams and Regulatory projects team to ensure prioritisation of program resources around issues, EUCs and documentation and further improve the BAU process/methodology and reporting to senior management.

· Report into the Head of UK Regulatory Governance

· Assist with the remediation of compliance and process related issues through business analysis and Regulatory knowledge thereby reducing the risk profile for the group.

· Track and monitor the delivery of tasks defined in the Regulatory plan and ensure escalation of any delays or other issues/risks to Regulatory reporting management as appropriate.

· Work with internal partners and Functional leads to ensure, short, medium and long term milestones are achieved and plans are progressing.

· Carry out compliance related self-assessments and present summaries to senior management

· Develop and enhance relationships with all Regulatory Functions, Technology, Infrastructure and Business Unit teams across the Firm to assist in delivery of in scope projects.

· Capture, document and communicate risks within the team and align to the annual global Risks and Controls Self-Assessment framework

· As appropriate, produce presentation materials to communicate and drive Regulatory Governance activity and key issues and risks.

· Coordinate and Chair the periodic Regulatory Governance forums with senior management and functional leads

· Manage the UK aspects within the Mumbai Governance team


Skills Required

· A regulatory business analysis or project management background gained in the Financial Services Industry.

· Experience of Capital/Leverage Regulatory reporting (CRD4 (CRR)/Basel, COREP) would be preferred but experience within Audit with Capital Regulatory Reporting exposure would also be considered.

· Clear, concise communication skills with experience of delivering small to medium scale initiatives

· Critically evaluate information gathered from multiple sources, decompose high-level information into details, summarise detailed or low-level information to a general understanding, and distinguish user requests from the underlying true needs.

· Excellent verbal and written communication skills and the ability to interact professionally with a diverse group, including executives, managers, and subject matter experts.

· Ability to work independently as well as part of a team

· Excellent relationship building skills with the ability to collaborate and build consensus

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.