Regulatory Specialist

Morgan Stanley
City of London, UK
Job Type:
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Company Profile:

We are looking for Regulatory Specialist to join a tier 1 investment bank for 12 month contract (PAYE). Our client is a global market leader in investment banking, securities, investment management and wealth management services.

Team profile:

The EMEA Regulatory Relations team is looking for an Regulatory Specialist ( Associate level) to join our team in London. You will work closely with the senior members of the team and will have an opportunity to contribute and get involved in a broad range of team tasks

Primary Responsibilities:

  • Assist senior team members in management of regulatory information requests and regulatory remediation responses by coordination of responses from all contributors; setting up and maintaining SharePoint sites, consolidation and checking of responses / submissions; formatting and preparing documents for final submission
  • Proactive management, coordination and tracking of actions and meeting follow-up items to ensure delivery within agreed timelines
  • Manage schedule of periodic regulatory reports to ensure that: all are submitted on time and logged in RRG systems; escalate any exceptions appropriately; perform CSI checks and obtain appropriate sign-offs.
  • Maintain and track regulatory deliverables, meetings and correspondence on RRG SharePoint / OpenPages tools
  • Assist with coordination of regulatory meetings to ensure all planning tasks have been completed (logistics, prep meetings, materials, briefing notes etc)
  • Oversee scheduling and administration of complex and / or high profile regulatory onsite visits and reviews.

This role provides an excellent opportunity for an individual looking to expand their Financial Services knowledge, learn more about the Regulatory environment and develop a good understanding of key Firm processes and functions.


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