Compliance Officer - E-Trading Cross Asset team
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 e-trading franchise on a cross asset basis. The team has headcount for three people including the team head and sits within the Institutional Equities Division (IED) Compliance team.
Primary Responsibilities
The role primarily involves providing Compliance coverage to the E-Trading franchise across Equity and Fixed Income products; this includes 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. Additional involvement with and sign off at relevant governance committee's and review of new product assessments and applications for new or amended algorithms.
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 a key contact for the various exchanges of which Morgan Stanley is a member.
The role also has management responsibilities to ensure the competing requests are managed appropriately and that more junior team members are developed and assisted to ensure all required tasks are carried out in a timely fashion.
Qualifications
Skills required (essential)
-Previous Compliance coverage experience relevant to electronic trading would be beneficial. Senior experience in relevant fields (such as at an exchange) will be considered.
-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.
-Strong management capabilities.
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 E-trading experience.
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 Salary: . Date posted: 27/04/2017
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 e-trading franchise on a cross asset basis. The team has headcount for three people including the team head and sits within the Institutional Equities Division (IED) Compliance team.
Primary Responsibilities
The role primarily involves providing Compliance coverage to the E-Trading franchise across Equity and Fixed Income products; this includes 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. Additional involvement with and sign off at relevant governance committee's and review of new product assessments and applications for new or amended algorithms.
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 a key contact for the various exchanges of which Morgan Stanley is a member.
The role also has management responsibilities to ensure the competing requests are managed appropriately and that more junior team members are developed and assisted to ensure all required tasks are carried out in a timely fashion.
Qualifications
Skills required (essential)
-Previous Compliance coverage experience relevant to electronic trading would be beneficial. Senior experience in relevant fields (such as at an exchange) will be considered.
-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.
-Strong management capabilities.
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 E-trading experience.
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 Salary: . Date posted: 27/04/2017