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 embedded 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.
About the role
The Compliance officer's main focus is to assist the Head of Institutional Compliance with day to day compliance responsibilities to manage Morgan Stanley's regulatory risk and also preserve the Firm's franchise through assisting the local and off-shore regulated institutional businesses to comply with, and monitor for compliance with, applicable laws, regulations, rules, internal policies and procedures, standards and industry best practice.
Ideally we are looking for someone who has Compliance experience in the following Business Units and product coverage groups.
Institutional Equities Division – institutional equities and derivative products
Fixed Income Division – fixed income, foreign exchange, OTC's, futures
Infrastructure Divisions – settlement, IT, controller and operational global support
Industry Developments - Keep abreast of industry developments and ensuring Head of Institutional Compliance and relevant Business Units are informed of relevant regulatory changes in addition to ensuring relevant Compliance documentation are updated accordingly
Compliance Advisory - Provide timely advice in relation to Compliance related enquiries from all Business Units
Compliance Training – Prepare and conduct Compliance training for various business units;
Statutory Registers – Assist in the maintenance of such registers
Compliance Policies, Procedures, Manuals and Rule databases – Draft, update and maintain
Regulatory Liaison - Investigate, compile and draft responses to regulatory enquiries, inspections Self Assessments and regulatory notifications
Meetings/Committees - Attend and prepare documents for regular internal meetings and committees to keep members apprised of any regulatory developments or regulatory risks
Compliance Reviews - Conduct Desk Reviews of Morgan Stanley's Australian businesses to monitor for compliance with policies and procedures and prepare draft reports of findings for management
Existing Compliance knowledge and 8+ years' experience from an Institutional Investment Firm or working in a Compliance department or with a regulator
Degree qualification in either Commerce/Business Economics, Law or related discipline
Strong Knowledge of the Corporations Act, ASIC Market Integrity Rules and Exchange Operating Rules
Strong practical product knowledge of cash equities, derivatives (ETO's, Futures, OTC's), fixed income products and electronic trading
Preference will be given to candidates with strong institutional equity Compliance experience from a global Investment Firm
Personal Attributes/Interpersonal skills
Demonstrates ambition and energy towards the day to day responsibilities
Excellent verbal and written communication skills
Ability to work effectively as a part of a team and autonomously
Ability to work closely and cooperatively with the business and other support departments
Strong skills in data analysis and presentation of information
Ability to execute multiple projects at the same time
Ability to prioritise a busy workload
Equal Opportunity Statement
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.
Internal Number: 6555195
About Morgan Stanley
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