EMEA Trade Surveillance & Enquiries
EMEA Trade Surveillance & Enquiries
Level - Associate
Location - Glasgow
JR036730
Department Profile
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 (fixed income, commodities and equities), Investment Banking, Global Capital Markets, Research and Investment Management across the EMEA region.
Team Profile
Regulators and exchanges continue to enhance their monitoring and oversight of the financial sector. As a result, requests for information from regulatory bodies have increased in number, scope and complexity. Morgan Stanley has established a dedicated regulatory enquiries function to coordinate the Firm's response to these requests.
In this role, you will work closely with senior team members and the function head, collaborating with stakeholders across the Firm to review and respond to requests from regulators and exchanges relating to EMEA business lines for trading and other information.
You will also support the EMEA Institutional Securities Group Trade Surveillance team in executing elements of the trade surveillance programme. This programme covers the design, implementation and operation of automated surveillance controls to detect and report market abuse and other misconduct risks across the Firm's businesses.
What you will be doing:
-Review and respond promptly to enquiries related to the EMEA Institutional Securities and Investment Management business units.
-Partner with colleagues in Trade Surveillance (Glasgow, London and offshore) to perform risk-management due diligence on enquiries.
-Conduct daily surveillance of equities, derivatives, fixed income and commodities trading to monitor compliance with regulatory and exchange requirements.
-Resolve escalated alerts, document outcomes clearly, and escalate potential exceptions as appropriate (including submission of STORs to the UK FCA or other competent authorities, where required).
-Perform data analysis and work closely with colleagues in business-line Compliance coverage, Operations and Technology to understand trading flows in order to respond to detailed queries.
-Draft clear and concise tailored responses to bespoke, sometimes complex, requests.
-Assist in the production and enhancement of MI reporting.
-Assist in the delivery of ad-hoc projects or initiatives.
What we're looking for:
-Excellent communication skills; able to communicate clearly, concisely and effectively, both in person and in writing, to a range of stakeholders at all levels.
-Strong organisation, prioritisation and well-developed execution skills; capable of managing competing deadlines and prioritising a varied workload.
-2+ years of experience
-Excellent attention to detail.
-Strong analytical skills; experience of analysing large data sets to identify patterns, potential anomalies and other exceptions.
-Able to build strong working relationships with key stakeholders across Compliance, Legal, and Business Control Unit, including staff based in other offices/countries.
-Ability to work both collaboratively and independently to meet regulatory deadlines; comfortable operating as part of a multi-location team.
-Working knowledge of a range of asset classes and associated rules and regulations.
-Risk identification; able to assess the context and specifics of a matter to determine whether it may present broader concerns.
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-Degree educated (or overseas equivalent).
-Familiarity with third-party trade surveillance tools (e.g., Nasdaq Trade Surveillance, Actimize) and market data vendors (e.g., Bloomberg, Reuters Eikon) would be beneficial.
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.
Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo .
Perks and Benefits
Health and Wellness
- Health Insurance
- Dental Insurance
- Vision Insurance
- Life Insurance
- Short-Term Disability
- Long-Term Disability
- Fitness Subsidies
- On-Site Gym
- Pet Insurance
- Mental Health Benefits
- FSA
- Virtual Fitness Classes
- HSA
Parental Benefits
- Fertility Benefits
- Adoption Assistance Program
- Family Support Resources
- Return-to-Work Program
- Birth Parent or Maternity Leave
- Non-Birth Parent or Paternity Leave
- Adoption Leave
Work Flexibility
- Hybrid Work Opportunities
Office Life and Perks
- Commuter Benefits Program
- Company Outings
- On-Site Cafeteria
- Holiday Events
Vacation and Time Off
- Paid Vacation
- Paid Holidays
- Leave of Absence
- Volunteer Time Off
- Personal/Sick Days
Financial and Retirement
- 401(K) With Company Matching
- Stock Purchase Program
- Performance Bonus
- Relocation Assistance
- Financial Counseling
Professional Development
- Tuition Reimbursement
- Promote From Within
- Mentor Program
- Access to Online Courses
- Lunch and Learns
- Work Visa Sponsorship
- Leadership Training Program
- Associate or Rotational Training Program
- Internship Program
Diversity and Inclusion
- Diversity, Equity, and Inclusion Program
- Employee Resource Groups (ERG)