Prime Brokerage & Equities Compliance Coverage

Job Description - Prime Brokerage & Equities Compliance Coverage (3254067)

Job Description

Prime Brokerage & Equities Compliance Coverage

Job Number:

Job Number:

3254067

Posting Date

Primary Location

Primary Location

: Europe, Middle East, Africa-United Kingdom-United Kingdom-London

Education Level : Bachelor's Degree

Job

Job

: Compliance

Employment Type : Full Time

Job Level : Vice President

Description

J ob T i t l e: Prime Brokerage & Equities Compliance Coverage

Lo c at i on: London

L e v e l : Vice President 

C o m p an yP r o file

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 offices in 42 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.

D ep a rt m e n tP r o fi l e

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.

T e a mP r o f i le

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 provides general transactional guidance and advice to Business Units and other staff, implements compliance policies as required, and provides training. It also 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.

Pr i m a ry R e s p o n si b i l iti e s

This senior role will involve leading the Compliance coverage of the Prime Brokerage, Stock Lending, the Delta-One Structured Products (DSP) businesses and providing senior coverage to Equity Sales & Trading more broadly, in what is a broad and varied Compliance Advisory role to some of to the Firm’s most essential businesses and stakeholders.

The candidate will report into the EMEA Head of Equities Compliance and will work closely with all Sales and Trading Compliance Coverage personnel, in particular the Head of Electronic Trading Compliance, Head of Fixed Income Compliance and the Head of Sales & Trading Compliance for our EU broker dealer entity. This trading-floor based role will involve providing both real-time and strategic advisory support at desk head level and below and will 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

Qualifications

S kills required (essential)
Previous Sales & Trading Compliance coverage experience; particular experience relevant to Prime Brokerage and/or Equities would be beneficial. 
The candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organisational skills and be an accomplished team player

> Familiarity with European and specifically UK compliance issues and relevant law and regulation

Good management capabilities

Skills desired
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

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