Institutional Equity Sales and Trading Compliance Manager

Position Description:

1. Job Objective:

To assist the Firm in compliance with UK legislation, exchange rules and regulations, and applicable EU and overseas legal and regulatory requirements.

2. Job Dimensions:

The Legal and Compliance Division is a service orientated department which provides guidance and advice to all business and support staff at the Firm, including sales, trading, research, investment banking, 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, investigates Firm, customer and employee trading activity. The Department is also called upon to render advice on legal requirements; the rules and regulations of regulators, exchanges and other bodies; and Firm policies and procedures.

The Institutional Equity Sales and Trading Compliance Analyst will work closely with other professionals in the Department providing coverage to the Institutional Equity Division (“IED”), and drawing upon the general resources of the Firm.

3. Principal Duties:

The successful candidate will be required to be involved in all aspects of the team coverage and ensure these responsibilities are carried out in a timely fashion and consistent with European wide regulations and laws.

a) Legal and Regulatory Disclosures:

Ensure compliance with all major shareholding requirements contained within the relevant Transparency Directive provisions implemented across Europe and equivalent requirements throughout EMEA.

Ensure compliance with all disclosure requirements under the UK, Irish, Greek, Cypriot and French Takeover Panel Rules.

Ensure compliance with section 793 of the UK Companies Act 2006 and similar legislation in other European jurisdictions.

b) IT development:

Work with Head of Regulatory Reporting team and Law and Compliance IT team to ensure continued development and enhancement of team disclosure and reporting capabilities, for example the Transparency Directive.

c) Regulatory Consultations:

Work with the head of the team to ensure appropriate firm involvement in relevant consultation papers and responses.

4. Supervision:

The reporting line will be to the head of the Regulatory Reporting team who in turn reports to the head of Cash Equities Compliance and Regulatory Reporting.

Skills Required:

• University graduate or equivalent and/or professionally qualified, e.g. law or accountancy graduate.

• Familiarity with UK compliance issues and relevant laws and regulations, e.g. Financial Services and Markets Act 2000, FSA rules, etc

• Confident, able to use initiative, excellent judgment, analytical, good communication and organisational skills.

• Numerical and computer skills ideal.

• Foreign language(s) is helpful but not essential.

To apply to this role please visit http://www.morganstanley.com/about/careers/careersearch.html and enter 56701 in to the "Search by Position Number" field and click search.

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