Cross Asset Structured Products and Equity Derivatives - Compliance Officer

Job Number:

3234594

DESCRIPTION

Cross Asset Structured Products and Equity Derivatives - VP

London

3234594

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

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. We 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.

Team Profile

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.

Primary Responsibilities

This role primarily comprises the coverage of EMEA Structured Products across both Equities and Fixed Income asset classes, including structured notes, exchange traded products and Quantitative Investment Strategies (QIS). It also involves providing secondary coverage of OTC Equity and Listed Derivatives, in what is a unique and exciting cross-asset Compliance Advisory role.

The candidate will report into an Executive Director who leads the EMEA Cross-Asset Derivatives, Structured Products and Clearing Compliance Coverage team and they will work closely with all Sales and Trading Compliance Coverage personnel. This role is based on the trading floor and will involve providing real-time advisory support to the relevant desks, as well as liaising closely with the relevant Structured Products and Equity Derivatives Compliance Coverage teams globally.

The candidate will be involved in the development of policy and procedure as it pertains to the Structured Products and Equity Derivatives businesses. This will include the education and training of business unit personnel and, as applicable, working to develop and drive appropriate responses to identified risks and/or 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. #LI-RW1 #LI-hybrid

QUALIFICATIONS

Skills required (essential)

> Previous extensive Compliance Advisory experience or product experience relevant to Structured Products and / or Equity Derivatives would 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 relevant UK and European law and regulation, as well as a good understanding of compliance and sales & trading risks and issues

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.

Flexible Working 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.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here.

Equal opportunities statement:

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. #LI-RW1 #LI-hybrid