Compliance Officer - Fixed Income London, England
Morgan Stanley
Full Time
London, England
53000 - 74000 GBP ANNUAL Today
Job description
Compliance Officer - Fixed Income
Job Number:
3226857
POSTING DATE: Dec 16, 2022
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor's Degree
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Manager
DESCRIPTION
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, and Investment Management across the EMEA region.
Team Profile
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.
Primary Responsibilities
This role will sit within the Fixed Income Compliance Coverage Team and primarily involve providing cross-product support on team and departmental projects as well as providing advisory coverage across the Fixed Income product universe.
The role will report into an Executive Director within the EMEA Sales and Trading Compliance team who is the Fixed Income Advisory Compliance lead on team and departmental projects. This role will involve providing real time advisory support, based on the trading floor, and will involve working closely with all Sales and Trading Compliance Coverage personnel, including liaising with the relevant Compliance Coverage teams in Frankfurt, across EMEA and globally.
The candidate will additionally be involved in supporting and driving the development of policy and procedure as it pertains to the business, including the education and training of business unit personnel and, as applicable, working to help develop proportionate responses to regulatory change. Additional involvement includes review of new product assessments, involvement with coverage led monitoring checks and development and delivery of training.
The candidate will also have responsibility for working with the Central Compliance teams who handle testing, monitoring and surveillance, including exchange enquiries.
The candidate will also have responsibility for working with the Central Compliance teams who handle testing, monitoring and surveillance, including exchange enquiries.
QUALIFICATIONS
Skills required (essential)
Previous Compliance coverage experience relevant to Fixed Income, Currencies and/or Commodities.
The candidate should be confident, able to use their initiative and possess good judgment, analytical, communication and organizational skills and be an accomplished team player
Familiarity with European and specifically UK compliance issues and relevant law and regulation
Skills desired
University graduate or equivalent and/or professionally qualified, e.g., in law or accountancy, with experience of working in Compliance within the financial services industry
