Legal and Compliance - Conduct Risk

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 24 Nov 17 2017-11-24

See job description for details

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
Professionals within Legal and Compliance 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.

Background on the Team
-The vacancy is for a Vice President/Executive Director within the wider Conduct Risk Legal & Compliance Team.
-Reporting to the EMEA Head of Conduct Risk for Legal & Compliance.

Primary Responsibilities

The investigation of conduct risk related incidents and the identification of wider follow up action, working closely with colleagues from Litigation, Employment Law and LCD Coverage Teams.

Key responsibilities include:
-Conducting reviews into incidents which may involve misconduct, breach of policy or adverse impacts for clients or markets.
-Central coordination, oversight and reporting for all internal conduct incidents;
-Ensuring, with LCD management, appropriate resourcing of investigations;
-Ensuring timely follow up and consistency of response / employee outcomes;
-Driving consideration of wider implications of incidents – linking into Compliance's lessons learned programme.


Skill required (essential)
-Qualified Lawyer
-Experience of litigation or investigation
-Regulatory experience or experience of major financial institutions would be beneficial

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.*LI-FH1