We’re seeking someone to join our team as an FX/EM Compliance officer in the Legal and Compliance department to provide general transactional guidance and advice to Business Units and other staff by implementing compliance
policies as required, and provide training.
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. 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.
Team 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 (Equities, Fixed Income and Commodities), Investment Banking, Research, and Investment Management across the EMEA region.
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 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.
What will you be doing?
- This role will involve provision of Compliance coverage to the FX and Emerging Markets businesses, in what is a broad and varied Compliance Advisory role to some of the Firm's most essential and exciting businesses and stakeholders.
- The candidate will report into an Executive Director within the EMEA Fixed Income Compliance team and will work closely with all Sales and Trading Compliance Coverage personnel. This trading-floor based role will involve providing both real-time and strategic advisory support and will also involve liaising with the relevant Compliance Coverage teams in the Americas, Asia Pacific, and Japan.
- The candidate will additionally be responsible for developing policy and procedure as it pertains to the covered businesses, including the education and training of business unit personnel and, as applicable, working to develop appropriate responses to regulatory change. Additional involvement includes review of new product assessments, involvement with coverage led monitoring checks and development and delivery of training.
What We're Looking For
- Previous Sales & Trading Compliance coverage experience; experience relevant to FX and Emerging Markets is preferred.
- The candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills and be an accomplished.
- A team player.
- Familiarity with European and specifically UK compliance issues and relevant law and regulation.
- University degree or equivalent and/or professionally qualified, e.g. in law or accountancy, with relevant years of experience of working in Compliance within the financial services industry (desirable).
- At least 8 years' relevant experience would generally be expected to find the skills required for this role.
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements
If t his role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work 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.
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.
