Legal and Compliance Executive Director

MSESE Group Enterprise Legal, Executive Director

Company Profile:

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile:

The lawyers and other professionals of the Legal & Compliance Division provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm’s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.

Role Overview:

Within the MSESE Group Legal Function, we have a group of lawyers who provide advisory support to the Boards, management team and internal functions of the MSESE Group in relation to banking, corporate, governance and related regulatory requirements.  The team works in close cooperation and dialogue with product coverage & specialist lawyers in other EMEA jurisdictions and with the Non-Financial Risk functions across EMEA. 

We have an opening for a senior lawyer to join the team based in Frankfurt with responsibility for managing and co-ordinating the provision of such advice.   The team is small and therefore requires a “hands on” approach which means that all lawyers are expected to get involved across the team’s portfolio of work as it continues to evolve.

The role will report directly to the MSESE Group Head of Legal.

Primary Responsibilities

Firm Management

• Advising the Management Boards and Supervisory Boards on corporate law and governance-related matters, including market practices in relation to board operations
• Providing legal coverage for ad hoc strategic projects, new business initiatives and transactions impacting the MSESE Group including the corporate, regulatory and governance aspects
• Providing advisory support to all members of the Management Board on ad hoc issues
• Working closely with Regulatory Relations to provide support to Firm Management on regulatory supervisory matters and requests

Finance

Managing provision of advisory support to the MSESE Group Finance division, working closely with Treasury and the Finance policy team, including:

• Advising on regulatory interpretation issues in relation to capital, liquidity and other prudential regulatory requirements, including as they relate to transactions, products, and structures, as required
• Advising on preparation of funding documentation for the MSESE Group and changes required to funding arrangements because of evolving regulatory guidance
• Advising on relevant capital issuances, restructurings and ad hoc transactional arrangements or Firm initiatives

Operations

• Advising the MSESE Group Operations division on legal and regulatory issues as required including in relating to cash and securities settlement, tax, position services/corporate actions, payment services and client money issues
• Advising on legal and regulatory change relating to custody, financial market infrastructure and operations generally

Other Enterprise Legal

• Working closely with the Firm’s US Bank Legal team on co-ordination of legal and regulatory advice relevant to the business activities of MSESE Group
• Assisting with advice on commercial contracts, outsourcing, real estate and HR matters as required
• Monitoring and advising on implications of regulatory change in Germany as required
• Providing support and guidance to specialist teams from the wider EMEA and/or global legal division including Litigation, Employment Law and Technology & Sourcing

Skills Required

• German law qualified lawyer essential, with 10+ years post-qualification experience in a law firm and/or in-house financial services Legal department
• Strong understanding of corporate/banking law and the financial services regulatory regime applicable in Europe
• Excellent communication skills (in both German & English), with an ability to impact and influence senior colleagues
• Collegiate / team player but with the ability to work independently to drive matters forward and represent the Legal & Compliance Division
• Problem solver with ability to tackle new areas of law without prior experience
• Proactive, highly organized, able to prioritize and manage multiple tasks.

Skills Desired

Experience working in a global or multi-national organisation

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.