Compliance Officer - Equity Derivatives & Cross-Asset Coverage EMEA - Vice President
London
JR017880
We’re seeking someone to join our team as a Compliance Officer - Equity Derivatives & Cross-Asset Coverage EMEA - Vice President in the Legal and Compliance department to provide coverage of all Equity Derivatives sales and trading desks as well as cross-asset coverage of Structured Products, Listed Derivatives and Client Clearing for Equities, Fixed Income and Commodities This is a unique and exciting Compliance Advisory role involving multiple product types and stakeholder groups.
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Equities, Fixed Income and Commodities), Investment Banking, Research and Investment Management across the EMEA region.
The Compliance Department is a service-oriented department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, capital markets, financial, administration and infrastructure staff.
The Department provides general transactional guidance and advice to Business Units and other staff, implements compliance policies as required, and provides training. It also undertakes surveillance activities and utilises exception reports to monitor and, where appropriate, investigate Firm, customer and employee trading activity. The Department is also called upon to render advice on the rules and regulations of FCA, exchanges and other bodies; and Firm policies and procedures.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
- The role will work closely with all Sales and Trading Compliance Coverage personnel, including continental Europe. This role will involve providing real time advisory support and will involve liaising with the relevant Compliance Coverage teams in the Americas, Asia Pacific and Japan.
- The candidate will additionally be involved in developing Compliance policies and procedures in relation the covered businesses, the education and training of business unit personnel and, as applicable, working to develop proportionate responses to regulatory change. Additional involvement includes review of new product assessments, involvement with coverage led monitoring checks and development and delivery of training.
- The candidate will also have responsibility for working with the Central Compliance teams who handle testing, monitoring and surveillance, including exchange enquiries.
What you'll bring to the role:
- Previous Compliance coverage or product experience relevant to Derivatives, Structured Products or Derivatives Clearing will be beneficial.
- The candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills and be an accomplished team player
- Familiarity with European and specifically UK compliance issues and relevant law and regulation
- University graduate or equivalent and/or professionally qualified, e.g. in law or accountancy, with experience of working in Compliance within the financial services industry. (desirable)
- At least 6 years' relevant experience would generally be expected to find the skills required for this role
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WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.