Compliance Professional - Paris, France - Morgan Stanley

Morgan Stanley

Entreprise vérifiée

Paris, France

il y a 2 semaines

Posté par:

Sophie Dupont

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Description

Compliance Professional

Job Number:
3248695

POSTING DATE:
Mar 21, 2024

PRIMARY LOCATION:
Europe, Middle East, Africa-France-France-Paris

EDUCATION LEVEL:
Bachelor's Degree

JOB:
Compliance

EMPLOYMENT TYPE:
Full Time

JOB LEVEL:
Director

DESCRIPTION

About Morgan Stanley
Morgan Stanley provides highly customized financial advice, investment solutions and brokerage services. Our Firm connects people, ideas and capital to help our clients achieve their financial aspirations. The talent and passion of our people are critical to our success. Together, we share a common set of values rooted in integrity and excellence.
Department Profile
The Professionals within the Compliance Department 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. They preserve the Firm's invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and selfregulatory agencies that govern the Firm's businesses.
Team Profile
Primary Responsibilities:
Advisory to the Sales & Trading business (with a particular focus on the equity business)
Analysis of impact and implementation of new laws and regulations and maintenance of regulatory tools
Regulatory reporting and disclosures, including the submission of Suspicious Transaction and Order Reports
Drafting of Compliance policies & procedures and provision of Compliance training to the business
Execution of Compliance monitoring checks
Supporting the delivery of Compliance owned responsibilities relevant to exchange/venue memberships
Coordinating responses to regulatory and/or exchange/venue enquiries
Participation in Firm or Compliance projects, as appropriate
Complaint handling
Coordination of internal and external audits

QUALIFICATIONS

Essential Skills
Degree (law, finance or economics preferable but not essential)
Strong communication skills
Well organized and proactive, solutionoriented
Excellent French and English language skills (written and spoken)
Good Microsoft-Excel, Word, Outlook and
Powerpoint knowledge
Ability to perform duties proactively, reliably and accurately
Ability to remain focused under pressure
Enjoyment of teamwork and being a team player
Motivation, ambition and initiative
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.