This executive director role will report into the EMEA Head of MSIM Compliance. This individual will be expected to attend MSIM and EMEA committees and other senior management meetings in place of the Head of MSIM Compliance.
The role involves senior level participation in a broad range of coverage Compliance responsibilities delivered as part of the Annual Compliance Plan, Business risk assessment for MSIM EMEA, including:
- Relationship management and day to day coverage of the investment teams, trading desks, product distribution and infrastructure functions;
- Liaising and coordinating with regional and global Compliance both central and MSIM, infrastructure groups and business functions.
- Reporting to and liaising with MSIM Boards and Fund Boards.
Principal initial responsibilities will include participation in and, as appropriate, being the Compliance lead for strategic or regulatory initiatives and projects. These responsibilities may include matters such as:
- Understanding the regulatory framework and applicability for the business
- Implementation of new policies and procedures in response to significant regulatory change, e.g. SMCR, PRIIIPS and Benchmark Regulation
- Tracking applicable regulatory Consultation Papers, notices and enforcement actions and identifying emerging themes or risks from areas of regulatory focus;
- Evaluating Compliance implications of the expansion of the MSIM branch network across EMEA; and of the existing cross border issues in current non-UK locations.
- Providing advice with respect to new business activities, new products or changes in MSIM business line processes; and
- Development of appropriate Compliance management information including the production of annual and quarterly reporting to MSIM’s UK regulated entities’ Boards and Fund Boards.
Given the global nature of the overall MSIM Compliance programme, the candidate will need to liaise with global counterparts with respect to certain of the initiatives for which they are given responsibility.
QUALIFICATIONS
Skills required
The candidate will possess the following:
- Sound retail and institutional asset management regulatory knowledge;
- Senior level operating experience in asset management Compliance gained within a major UK regulated entity;
- Practical experience of working in a cross-regional context;
- Technical expertise with respect to relevant laws and regulations;
- Excellent analytical skills;
- Team management skills;
- Project management and organisational skills;
- Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing;
- Able to use initiative and apply judgment; and
- Self-motivation
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