Compliance Officer - Institutional Equities Cross Asset Team

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 21 Sep 16

Morgan Stanley's Institutional Equities Division (IED) Compliance team are looking to hire an experience Compliance professional to join the newly created Cross Asset team in an Advisory capacity providing compliance coverage of listed derivatives and clearing related sales and trading activity in Europe.

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 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 (fixed income, commodities, equities), Investment Banking, Research Investment Management and Private Wealth Management Business across the EMEA region.
 
Background on the Team
The team provides Compliance Coverage to the Listed Derivatives, Retail Structured Products and the Bank Resource Management team (all across asset classes).  The newly created team has headcount for four people including the team Head and sits within the Institutional Equities Division (IED) Compliance team.
 
Primary Responsibilities
This role will primarily involve coverage of listed derivatives and clearing related sales and trading activity in Europe, covering cross-asset (IED and Fixed Income products).
 
In supporting the Head of this team, the candidate will provide real time advisory support on a cross-asset basis. The candidate will additionally be involved in developing policy and procedure as it pertains to the business, including the education and training of business unit personnel and, as applicable, working to help develop proportionate responses to regulatory change.
 
The candidate will also have responsibility for working with the Central Compliance teams who handle testing, monitoring and surveillance, including exchange enquiries. The candidate will also be the first point of contact for the various derivative exchanges of which Morgan Stanley is a member.

Skills required (essential)
-Previous Compliance coverage experience within an investment bank; preferably within a sales and trading environment or at a derivatives exchange
-Above all, the candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills.
-Familiarity with European and specifically UK compliance issues and relevant law and regulation.

Skills desired
-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
-Sound derivatives and clearing experience, with a focus on listed derivatives.
 
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise 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.