Equities Compliance Vice President

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

The Equities Compliance team at Morgan Stanley is currently recruiting for an experienced individual to provide compliance advice, primarily focusing on Trading.

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
Morgan Stanley has a leading franchise both globally and in EMEA in Equities.  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 and Equities), Investment Banking, Research, Investment Management and Private Wealth Management Business across the EMEA region.
 
Background on the Team
The EMEA Equity and Cross Asset Compliance Team in London comprises of 10 individuals and is responsible for providing real-time advice and support on regulatory matters to the predominantly London based EMEA Equity Division.
 
Primary Responsibilities
The team is recruiting for an individual to report to a Senior Member of the Equity Compliance team, to provide compliance advice, primarily focusing on Trading.
 
This is an advisory role and the work is varied and time critical. The successful candidate will be expected to manage relationships with the Business at all levels and be able to think on their feet, often providing ‘live’ regulatory interpretations and decisions to the business in high profile and / or time constrained situations. In addition, the candidate will play a role in the implementation and rollout of relevant projects, training and the Compliance plan.
 
Candidates must be good team players, be willing to learn and be expected to provide support to the Equity business generally. The role will require close liaison with the Legal Team covering these businesses to identify and manage the regulatory risks associated with specific transactions and the business as a whole.

Skills required (essential)

Experience
-Previous regulatory experience within an investment bank; preferably within a sales and trading environment or at an exchange.
-Understanding of exchange rules.
-Based on the floor, candidate should possess excellent relationship management skills, a proactive approach to their work and a desire to work at the forefront of an Equity business widely recognized as one of the leading players in the market.
-Familiarity with European; specifically UK compliance issues and relevant law and regulation.
 
Skills/Qualifications
-The ideal candidate will be a University graduate or equivalent and/or professionally qualified, e.g. in law or accountancy, with experience working in Compliance within the financial services industry
-Above all, the candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills.
 
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.