Research Compliance Officer - Vice President

  • Competitive
  • London, England, United Kingdom
  • Permanent, Full time
  • Morgan Stanley
  • 25 Sep 17

See job description for details

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 and Equities), Investment Banking, Research, Investment Management and Private Wealth Management Business across the EMEA region.

Role Profile

A role has arisen for a VP to provide compliance coverage to the EMEA Research Division, which consists of Equity & Fixed Income Research and Economics. Research provides analyses that impact markets, companies, industries, economies and currencies. Research Compliance helps manage the Firm’s risks by ensuring adherence to laws, rules and regulatory requirements.

Primary Responsibilities
Reporting to the Head of EMEA Private side, Research and Control Group Compliance, the individual will assume a number of operational responsibilities:
- Providing primary compliance coverage for EMEA Research.
- Contributing to and leading development of compliance policies and procedures.
- Designing compliance Monitoring and Testing programmes in conjunction with the EMEA Monitoring and Testing teams across EMEA Research.
- Leading local and participating in global compliance training and working group calls for Research.
- Leading the annual Compliance Risk Assessment and setting and delivering the annual Compliance Plan for EMEA Research.
- Establishing an EMEA compliance metrics pack to provide EMEA Research Management with timely and relevant data to support their business oversight
- Leading the quarterly supervisory meeting between Research Management, Risk and Legal & Compliance
- Responding to questions from the business in a timely manner, working with other compliance teams and local compliance officers of other EMEA publishing locations to incorporate their views where appropriate.
- Building relationships and networks across the Firm to develop a role as a trusted adviser to business and Legal and Compliance management.


Skills required (essential)

- Previous, proven professional experience in financial services with a leading bank, securities house, or regulator in a legal, compliance or internal audit function.
- Solid product knowledge, specifically in equity and fixed income securities
- Exceptional oral and written communication skills. Candidates must possess a demonstrable ability to: distil complex and detailed information; present information clearly in PowerPoint and Excel; draft business memos.
- Pro-active, strong organisational skills, with ability to handle multiple tasks, work under pressure, and manage competing priorities.
- Exceptional problem solving and execution skills.
- Excellent presentation skills.
- Impeccable interpersonal and client-service skills.
- Track record of exercising sound and independent judgment and ability to identify which issues require escalation.
- Strong understanding of the main regulatory areas e.g. FCA COBS, US Research Settlement, Market Abuse, Information Barriers etc and working knowledge of FINRA Research rules.
- Educated to degree level or equivalent.

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.

The salary for this role is competitive

The closing date for applications is the 10/10/2017