Job Description

Team Profile
The EMEA Compliance Registration function is responsible for the prompt implementation of internal processes and procedures to ensure that employee regulatory and exchange registrations are processed swiftly and efficiently in line with regulatory requirements across EMEA locations.
The teams activities fall into the three broad categories of activities as noted below:
Employee Registration The team leads, manages, or supports various processes related to the registration of employees with regulatory and exchange venues. These activities include adhering to local regulatory rules and venue requirements to ensure employees have the correct registrations and/or licenses to perform their role.
Control Framework - the team manages a framework to assess, monitor and reconcile the processes undertaken as part of the EMEA registration requirements. This includes, but is not limited to, an in-depth reconciliation programme, various MI and metrics comprising KPIs and KRIs.
Projects / Initiatives - The team leads, manages, or supports projects and initiatives related to regulatory and venue registration requirements within EMEA. Projects vary from year to year, dependent on changes to the regulatory or Firm landscape.

The EMEA Compliance Registration team currently has 8 employees (2 in London and 6 in Mumbai) working alongside all areas of the Department and the Business. This role will have exposure to a wide set of Compliance and Business Unit senior stakeholders and is an ideal opportunity to gain a broad overview of the Department and its functions, the range of Morgan Stanleys businesses and the organisation of the Firm.
Primary Responsibilities
The role will report to the EMEA Head of Compliance Registrations and will involve managing, implementing and/or enhancing regulatory and venue registration processes as well as general BAU tasks. The candidate will have a good understanding of the rules around regulatory registration, including but not limited to:
The Senior Manager and Certification Regime (SMCR)
SYSC and COCON
US Regulations under CFTC and SEC in relation to registrations
MiFID II Knowledge and Competence
German Regulatory Regime and BaFIN
Responsibilities include:
Lead/assist with regulatory projects, ensuring timelines are met and delays are appropriately escalated
Lead/manage the preparation of Management Information reports, comprising KPI and KRI indicators
Produce presentation decks for review with senior stakeholders
Lead/assist with regulatory rule review and mapping required as part of project work
Drafting Policies and Procedures to be used by the team
Lead/assist with the implementation of new or existing registration and exchange processes and controls


Qualifications

Self-starter with the ability to balance multiple projects and meet deadlines will remaining focused under pressure
Strong stakeholder management skills
Strong written and verbal communication skills with excellent attention to detail
Strong analytical, organizational and process management skills
Advanced PowerPoint to create and deliver project summary and management information presentations
Good excel skills, including pivot and Vlook-up
Previous experience working in a financial services institution or consulting firm
Previous experience working in the Registrations area would be an advantage
Education: Any Graduate
Industry: Financial Services/Stockbroking

Skills Required