Compliance Associate - Madrid
Morgan Stanley
Madrid, Spain, Spain, Africa
hace 1 día

Company Profile

Morgan Stanley Sociedad de Valores, S.A. (MSSV) provideshighly customized financial advice, investment solutions and brokerageservices.

Our firm connects people, ideas and capital to help our clientsachieve their financial aspirations. The talent and passion of our people arecritical to our success.

Together, we share a common set of values rooted inintegrity and excellence.


The Compliance Associate will assist in theCompliance coverage of the Institutional Business, principally of InstitutionalSales Coverage and the Investment Banking Division / Global Capital Markets ofMorgan Stanley in Spain.

Responsibilities :

  • TradeSurveillance, Desk reviews and Test Checks
  • Executionof the annual Compliance Plan
  • RegulatoryReporting and Disclosures
  • Riskassessments for Compliance and Global Financial Crimes
  • DataProtection
  • Trainingand Education on Compliance Topics
  • Coverageof Compliance Policies, Procedures
  • AMLMonitoring, AML controls framework
  • Reviewof client documentation for legal entities- Coordinationof internal and external audits
  • Analysisof impact and Implementation of new laws and regulations
  • Regular Contacts :

  • Businessunits : Investment Banking / GCM , Sales and Trading, Investment Management,Research, Operations, Financial Control, HR, IT.
  • LondonCompliance teams (testing, surveillance, regulatory disclosures, etc.)
  • Qualifications

    Profile / Requirements :

  • Lawor Economics Degree or similar
  • Complementaryeducation in Compliance would be a plus
  • Extensiveexperience in a Compliance or Audit role in Banking and Financial Servicesindustry, experience in Institutional Banking is an additional asset
  • Goodgrasp of Spanish and International Banking
  • Abilityto apply legal and regulatory requirements to practical situations
  • Persuasivewith excellent communication skills on all levels in order to present views tosenior management and to explain technical requirements
  • Wellorganised and able to adapt, solution oriented
  • ExcellentSpanish and English knowledge (written and spoken)
  • Microsoft skills in Excel, -Word, -Outlook and PowerPoint knowledge
  • Abilityto perform duties pro-actively, reliable and accurately with minor supervision
  • Abilityto remain focused under pressure
  • Proactiveand with a Hands-on Attitude
  • Enjoyteamwork and being a team player
  • Leadershipand initiative
  • MorganStanley is an equal opportunities employer. We work to provide a supportive andinclusive environment where all individuals can maximise their full potential.

    Our skilled and creative workforce is comprised of individuals drawn from abroad cross section of the global communities in which we operate and whoreflect a variety of backgrounds, talents, perspectives and experiences.

    Ourstrong commitment to a culture of inclusion is evident through our constantfocus on recruiting, developing and advancing individuals based on their skillsand talents.

    Given the continued spread of COVID-19 (coronavirus), all interviews will be conducted by phone or virtual connection to protect our candidates and employees.

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