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.
TradeSurveillance, Desk reviews and Test Checks
Executionof the annual Compliance Plan
RegulatoryReporting and Disclosures
Riskassessments for Compliance and Global Financial Crimes
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.)
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
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.