Equities / ECM Compliance Officer
Position Description
1. Job overview:
As a senior member of the EMEA Equities Compliance team, the focus of this role will be providing advisory services to Equities and ECM business units in EMEA. The specific desk focus of this role will be tailored according to the experience of the candidate.
Morgan Stanley has leading franchises both globally and in EMEA in Equities and ECM. The EMEA business comprises approximately 850 Sales Trading employees and is based at its regional headquarters in Canary Wharf, London.
2. Principal duties:
(a) Advisory services: providing advice to the business unit and support control functions in relation to the interpretation and application of relevant law, regulation and rules (together, "Regulation"). The candidate and their team will be required to advise on compliance with Regulation in the context of a wide spectrum of activity; including transactions, new products / initiatives, situations and regulatory reform.
(b) Business engagement: engaging senior business and support control management and establishing themselves as a trusted advisor with respect to regulatory matters.
(c) Policy and training programme: contributing to an on-going programme of policy, training and awareness, in conjunction with central Compliance teams, to ensure an appropriate policy and process framework is established to allow the business unit to function effectively in compliance with Regulation.
(d) Monitoring and testing programme: contributing to an on-going programme of desk reviews, test checks and surveillance, in conjunction with central Compliance teams, to monitor compliance with Regulation and internal policy.
(e) Regulatory / exchange liaison: managing interactions with various regulatory bodies (in particular, the UK FSA, the US Federal Reserve Bank and European exchanges) in relation to a wide spectrum of activity; including situations, regulatory enquiries / thematic reviews, regulatory audits / exams and regulatory reform consultations.
(f) Regulatory reform: advising the business unit and support control functions in relation to the potential impact of regulatory reform and developing policy and processes to ensure compliance with the same.
(g) Team management: as a senior member of the EMEA Equities Compliance team, providing support and direction to other team members and leading by example.
3. Reporting line:
The candidate will report into the EMEA Head of Equities Compliance.
Skills Required
• Expertise both in terms of equities product knowledge and applicable Regulation.
• Ability to build relationships of trust with senior management from the business unit and support control functions.
• Leadership skills both in terms of initiative delivery and people management.
• Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing.
• Confidence to use own initiative and apply judgment in an in-house context.
• Enthusiasm and ability to inspire and develop others.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential.
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