Position Description:

The candidate will be part of the Sales & Trading Compliance team based in London and will report to the Manager of Equity Derivatives Compliance. In supporting the Manager of this team the candidate will provide real time advisory support to the equity derivatives business unit. The candidate will be involved in developing policy as it pertains to equity derivatives; including the education and training of business unit personnel. The candidate will also hold the primary responsibility for the execution and management of the wider Equity Compliance team’s desk review and test check activities; and in particular be the main point of contact for the Sales and Trading Surveillance and Monitoring group.

In addition to advisory, policy and training the candidate will also play an integral role in the implementation and rollout of equity derivative related projects. This will entail working closely with individuals within Sales and Trading; Operations and IT. The candidate will also be the first point of contact for the various derivative exchanges of which Morgan Stanley is a member.


So as to ensure a consistent approach the candidate will be required to work closely with other professionals in the Legal & Compliance Department; both within EMEA and globally.

Skills Required:

• Previous regulatory experience within an investment bank; preferably within a sales and trading environment.

• Sound derivatives experience; with a focus on structured derivatives.

• Familiarity with European; specifically UK compliance issues and relevant law and regulation. Exposure to short selling regulations being of particular relevance.


Skills/Qualifications Required:

• University graduate or equivalent and/or professionally qualified, e.g. in law or accountancy, with experience working in Compliance within the financial services industry