Client Onboarding and Regulatory Services (CORS) is an Operations group within Shared Services. The group covers Client Onboarding, Market Regulations, KYC and Refresh. CORS have a global footprint with offices in Hong Kong, Bangalore, Tokyo, London, Glasgow, Baltimore, and New York.

We are seeking an experienced leader within Market Regulations which is responsible for adherence to client regulatory requirements at the point of onboarding the clients relationship with Morgan Stanley. This includes life cycle remediation specific to market regulations such as MIFID II, SFTR, UMR, Dodd Frank, EMIR, etc.

The Market Regulations team is comprised of regulatory SMEs that provide support and regulatory control for global Business Units as well as a variety of stakeholders across the Firm. The team supports regulatory projects across asset classes, business units or product lines, jurisdictions and actively partners with compliance and legal to ensure that new or amended regulations and processes are implemented and controlled appropriately across the Firm. This actively drives the reviews, processing, maintenance of regulatory data and documents, ensuring regulatory reporting setups are in place.

• Supervise daily activities of the team and ensure deliverables are being met in a timely manner.
• Provide governance, supervision and escalation oversight on a day-to-day basis.
• Work with Legal, Compliance, BU, Operations and Technology to review upcoming regulations, create solutions, drive consensus, and oversee implementation in systems and processes.
• Ensure that European regulations (SFTR, EMIR, MiFID II and UMR) are correctly adhered to with the controls established and implemented across Compliance and Onboarding.
• Management and production of key KRI and KPI metrics.
• Proactively explore tactical and strategic solutions to identified and close control gaps.
• Sample test / 4 eye review critical regulatory processing and or exception related processes.
• Escalate issues in a timely manner to regional and global leads.

What we are looking for:

• Strong subject knowledge in EMEA and UK centric market regulations, including but not limited to: MiFID II, EMIR, SFTR, Transaction Reporting
• Proven ability to lead, mentor and develop teams
• Set and drive regional team strategy
• Ability to manage small and large-scale regional change initiatives
• Strong senior level stakeholder management experience
• Ability to multi-task and oversee delivery of multiple initiatives and BAU issues

Skills that will help you in the role:

• Exceptional organisational skills and deadline management
• Sound risk and control mindset, excellent judgement, and ability to prioritise
• Problem solving, conflict resolution and coaching skills
• Strong communication and interpersonal skills and ability to seamlessly interact with the Business units, Compliance, and other key stakeholders
• Ability to quickly digest new information and learn new businesses and processes
• Ability to effectively manage time pressures and competing business priorities