Compliance Officer (Analyst)

We’re seeking someone to join our team as a Compliance Officer (Analyst) in the Compliance Department to provide a wide range of services to our business units. They might advise on a new product; develop a training program or assist in the complaints handling process and perform monitoring checks.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk.

This is an Analyst level position to assist the Compliance Infrastructure functions and Central Compliance functions team with a focus on general Compliance matters, like Conflict-of-Interest Management (Outside Business Interests), Personal account Dealings, Compliance Reporting and audit coordination. The role is based in Frankfurt.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

• What will you be doing?
• The responsibilities of the Compliance Officer (Analyst) are as set out below:
• Support the MSESE and MSBAG Chief Compliance Officer in the following:
• Coordination of the annual Securities Trading Act Audit (WpHG) of MSESE & MSBAG
• Liaison with the Infrastructure functions to provide advice on compliance and regulatory matters
• Development, maintenance and enhancement of policies and processes to ensure compliance with relevant regulations including execution of updates where appropriate and advise on the potential impact of regulatory reform
• Co-ordination of training for the MSESE and MSBAG infrastructure functions and tracking of the training delivered by the wider Compliance function
• Review and management of Outside Business Interest activities and handling of Employee Trading Policy related queries
• Preparation and delivery of updates and metrics on key infrastructure Compliance Coverage deliverables for senior LCD Management and relevant Governance forums
• Assistance to prepare responses to information and data requests and general/periodic updates to the regulators
• Delivery of other core activities carried out by the Central Compliance function

• Qualifications
• What you’ll bring in the role:
• Degree (law, finance or economics preferable but not essential)
• Ability to apply legal and regulatory requirements to practical situations
• Strong communication skills
• Well organized and pro-active, solution-oriented
• Excellent German and English language skills (written and spoken)
• Good Microsoft-Excel, -Word, -Outlook and - PowerPoint knowledge
• Ability to perform duties pro-actively, reliably and accurately
• Ability to remain focused under pressure
• Enjoyment of teamwork and being a team player
• Motivation, ambition and initiative