Infrastructure Compliance Officer

Morgan Stanley
12 Aug 2017
15 Aug 2017
Contract Type

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

Team Profile
The Infrastructure Compliance Function is responsible for the second line oversight of infrastructure based regulatory processes supporting the Morgan Stanley businesses. The team also provides broader compliance support and advice to Morgan Stanley's infrastructure areas. This role within Infrastructure Compliance will provide support to the Infrastructure Compliance Executive Director and will entail working closely with other professionals in the Legal & Compliance Department, providing coverage to the Morgan Stanley EMEA businesses and support functions and drawing upon the general resources of the Firm.

Core areas of coverage include, but are not limited to: Disclosure of Interest, Short Selling disclosures, Takeover Panel reporting, Stabilisation and Beneficial Ownership requests and broad compliance support across Operations, Technology and Finance.

Primary Responsibilities
The role will encompass a wide scope of products and Compliance activity. Examples could include:
- Renovating regulatory processes (e.g. involvement with the likes of disclosure of interest and other types of regulatory reporting).
- Interpreting rules and applying judgment on practical solutions.
- providing advice and guidance to the business units with regards to complex structured transactions
- leading responses to FCA/industry focused initiatives and representing the Firm's interests in industry working groups and coordinating internal action across S&T
- involvement in regulatory visits and examinations

Involvement in other Compliance initiatives should provide a variety of workload and visibility both across our EMEA offices, globally and to EMEA Compliance management.
Compliance programme:
The role will provide central coordination with respect to the Sales & Trading Compliance programme, including:
- coordination and design of management information across: policy work, training, key initiatives and issues and Compliance owned processes
- ensuring robust procedures and audit trails are properly maintained with respect to Compliance owned processes
- drafting of procedures, training decks or Compliance notices
- execution of key regulatory reporting initiatives across the business units, operations and LCD

Reporting line:
The candidate will report into an Executive Director, Infrastructure Compliance, EMEA.

Primary Contacts
Due to the diverse and widespread nature of the position, the role requires close contact at all levels of business unit staff, as well as operational, IT and other support personnel within the Firm. The role will also include external contact, such as with clients, other investment banks, broker-dealers, regulatory bodies, industry bodies, outside counsel and external auditors.


Skills required (essential)
- Bright and enthusiastic individual ideally professionally qualified, e.g. law or accountancy graduate
- Product and investment banking knowledge (having worked in-house for an investment bank highly preferable)
- Good understanding of UK Compliance issues and relevant laws and regulations. Previous experience in large shareholder, short selling and/or transaction reporting role at a complex financial institution
- Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing
- Confident, able to use initiative, excellent judgment, analytical, good communication and organisational skills

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.*LI-FH1

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