We're seeking someone to join our team as a Vice President in the Legal and Compliance division.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Vice Presdent level position within the Oversight, Monitoring and Testing.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What You'll Do In The Role
- Conducting daily surveillance across equities, derivatives, fixed income, and commodities trading to ensure compliance with regulatory and exchange requirements.
- Collaborating with Compliance, Operations, and front office teams to investigate and resolve surveillance alerts.
- Reviewing and escalating alerts appropriately, documenting outcomes clearly and escalating potential issues without delay.
- Assessing and enhancing the effectiveness of surveillance reports and related monitoring tools.
- Performing ad hoc trading reviews to support Legal and Compliance teams, including detailed incident assessments, and preparing and submitting STORs to the FCA or other competent authorities when required. Designing, enhancing, and calibrating surveillance controls, as well as supporting the implementation of new controls.
- Contributing to surveillance related projects and initiatives, ensuring timely and effective delivery.
- Maintaining strong working relationships across regions and levels, collaborating with colleagues in EMEA and global surveillance teams to support the surveillance program.
- Partnering with key stakeholders - Sales & Trading Coverage, Business Control Unit, Technology, external vendors to design and implement enhancements to the surveillance framework.
- Preparing and improving Management Information (MI) reporting to support governance and oversight.
- Providing subject matter expertise to Regulatory Enquiries and business-line Compliance teams on surveillance matters, including trading behaviour, exchange mechanics, market dynamics, and indicators of suspicious activity.
What You'll Bring To The Role
- Exceptional communication skills, with the ability to explain complex scenarios clearly and concisely-both verbally and in writing-to stakeholders at all levels.
- Typically, 8+ years’ relevant experience would generally be expected to find the skills required for this role.
- Strong analytical capability, including experience handling, analysing, and presenting large datasets to identify anomalies or patterns of concern.
- Demonstrated ability to assess control logic and thresholds, evaluating effectiveness and identifying opportunities for enhancement.
- Highly organised and execution focused, able to manage competing priorities and deliver high quality work within deadlines.
- Confident decision maker, comfortable using sound judgment and initiative in an in house environment.
- Skilled at building strong working relationships, fostering open two way communication and trust with colleagues across global offices, and supporting a culture of development and constructive feedback.
- Adaptable team player, willing to support colleagues and contribute to the overall success of the EMEA surveillance programme.
- Hands on experience with third party surveillance systems, such as Nasdaq Trade Surveillance, Trading Hub, or Actimize, as well as market data platforms including Bloomberg and LSEG Workspace.
- Proficiency in data analysis tools, including the ability to use Tableau/SQL to interrogate and analyse large datasets.
- Post graduate qualification (e.g., MSc or MBA in Finance) preferred.
What You Can Expect From Morgan Stanley
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about\-us/global\-offices into your browser.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.
