Vice President, Legal And Compliance, Sales & Trading Compliance Advisory recruitment
Role Description:
• Provide Compliance support for Sales and Trading (equities, fixed income, commodities and futures), Investment Banking, Research, Prime Brokerage as well as central compliance matters (licensing and other regulatory applications)
• Leadership – supervising a group of 3 Compliance Professionals
• Advisory. Provide advice either independently or with other team members on regulatory compliance issues.
• New business initiatives. Review and lead new business initiatives from a local regulatory, best practice and Firm perspective.
• Compliance policies and procedures. Review manuals and Compliance Notices to ensure they are properly revised or updated when necessary, and draft new manuals, Compliance Notices, policies and procedures in light of regulatory or business changes.
• Desk reviews and monitoring. Provide advice to the Desk Review Team to identify risk areas or lead independent reviews and monitoring of business practice.
• Compliance projects. Lead specific ad-hoc projects.
• Regulatory interaction. Help develop and manage the Firm’s contact and relationship with its regulators, ensuring that communications between the Firm and its regulators are open and constructive.
• Industry contacts. Lead communications with industry participants to ensure appropriateness and consistency.
• Training. Develop training materials and provide training to Sales Trading staff.
• Reports to Regional Sales Trading Compliance Officer.
Skills Required
• In-depth knowledge of regulatory and compliance requirements and product experience.
• Must have in depth, relevant compliance experience with a financial institution covering sales and trading activities, or with a financial regulator.
• Leadership
• Excellent written and verbal communications skills
• Ability to work in a high-paced environment
Morgan Stanley is an equal opportunities employer and is committed to fair treatment, regardless of background (including criminal record)
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