LCD, FX and Emerging Markets Compliance Coverage, Vice President

LCD, FX and Emerging Markets Compliance Coverage, Vice President

London
• JR023397

We’re seeking someone to join our team as a FX and Emerging Markets Compliance Coverage, Vice President.

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 a Vice President level position within the Non-Financial Risk Global Compliance team.

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.

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.

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.

• Provision of Compliance coverage to the FX and Emerging Markets businesses, in a broad and varied Compliance Advisory role to some of the Firm’s most essential and exciting businesses and stakeholders.
• Report into an Executive Director within the EMEA Fixed Income Compliance team and work closely with all Sales and Trading Compliance Coverage personnel. Provide both real‑time and strategic advisory support and liaise with relevant Compliance Coverage teams in the Americas, Asia Pacific, and Japan.
• Responsible for developing policy and procedure for the covered businesses, including education and training of business unit personnel, and developing appropriate responses to regulatory change. Additional involvement includes review of new product assessments, coverage‑led monitoring checks, and development and delivery of training.

• Typically 9‑10+ years of relevant experience expected to find the skills required for this role.
• Previous Sales & Trading Compliance coverage experience; experience relevant to FX and Emerging Markets is preferred.
• Candidate should be confident, use initiative, and possess good judgement, analytical, communication and organisational skills and be accomplished.
• A team player.
• Familiarity with European and specifically UK compliance issues and relevant law and regulation.
• University degree or equivalent and/or professionally qualified, e.g., in law or accountancy, with relevant years of experience in Compliance within the financial services industry (desirable).

We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 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…