Compliance Coverage - Executive Director

Morgan Stanley

Später bewerben

We're looking for a candidate to fill this position in an exciting company.

  • advising the EEA businesses operating in Germany on compliance with internal policies and external rules and regulations, including in particular those relating to European and German banking and securities rules and regulations
  • maintaining and updating relevant Compliance policies so that they reflect current regulatory requirements
  • delivering training to the business on a regular basis on relevant laws and regulations as well as internal policies
  • reviewing and providing Compliance advice on new business initiatives from a local and European regulatory, best practice and Firm perspective
  • executing manual monitoring checks to assess adherence to compliance-relevant regulatory rules
  • co-ordinating responses to relevant enquiries from exchanges, regulators and other regulatory bodies
  • contributing to the implementation of new regulatory requirements
  • overseeing and supervising relevant Compliance owned outsourcings
  • liaising with internal and external auditors

  • Relevant experience in Compliance with a leading international financial institution
  • Familiarity with Institutional Sales and Trading business and preferably also Investment Banking
  • Good understanding of regulatory requirements including German banking and securities law/regulation
  • Fluent in German and English
  • The successful candidate should also be able to demonstrate:
  • a practical and pragmatic approach
  • good organisation skills with a focus on being solution-oriented
  • an ability to remain focused under pressure
  • an ability to work well in a team and to collaborate with other functions


Später bewerben

Stellenangebot in: Frankfurt am Main