Markets Compliance Executive Director EMEA Region
Markets Compliance Executive Director EMEA Region
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Job Description
Department Profile
The MSEHSE Group Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firms compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (Fixed Income Commodities and Equities) Investment Banking Research and Investment Management across the EMEA region.
Team Profile
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 ECB BaFin and AMF exchanges and other bodies; and Firm policies and procedures.
What you will be doing:
This senior role Executive Director Markets Compliance Europe Paris will involve providing and overseeing coverage of the Equities and Fixed Income businesses this include all Derivatives sales and trading desks within Equities as well as Structured Products Exchange Traded Products Listed Derivatives and Client Clearing businesses across Equities Fixed Income and Commodities in what is a unique cross-asset Compliance Advisory role involving multiple product types and stakeholder groups.
The role is located in the MSESE Paris Branch and will report locally into the Head of MSESE Branch Compliance. The role will work closely with all Sales and Trading Compliance Coverage personnel in particular the EMEA Head of E-Trading Risk Management Compliance the EMEA Head of Fixed Income Compliance and the EMEA Head of Sales & Trading Compliance for our EU broker dealer entity. This role will involve providing real time advisory support at desk head level and below and will involve liaising with the relevant local Group Compliance Coverage teams as well as regionally and globally.
The candidate will additionally be responsible for developing policy and procedure as it pertains to the covered businesses including the education and training of business unit personnel and as applicable working to develop proportionate responses to regulatory change. Additional involvement includes review of new product assessments review and oversight of coverage led monitoring checks and development and delivery of training. The candidate will also have responsibility for working with the Central Compliance teams who handle testing monitoring and surveillance including exchange enquiries.
The role has management responsibilities including 2-3 direct reports. It involves ensuring that junior team members are developed and assisted all required tasks are carried out in a timely fashion and competing requests are managed appropriately.
What were looking for:
- Compliance experience: extensive advisory markets compliance experience within a leading investment bank.
- Leadership: Proven experience managing and developing high-performing teams.
- Regulatory expertise: Deep knowledge of European & French financial regulations (MiFID II MAR EMIR AMF/ACPR rules).
- Product: deep knowledge of a broad range of global Markets products.
- Operating level and stakeholder management: adept at providing compliance advice to the business and partnering with colleagues in compliance and other functions.
- Style: highly commercial proactive collaborative solutions-oriented business partner.
- International mindset and experience: someone who has worked in London NY or HK understands operating in a global matrix.
- Regulatory relationships: experience of facing off to regulators on markets compliance related matters ideally exposure to the AMF.
- Language: Fluent in both English and French (essential).
- Location: Can be based in Paris currently or willing to relocate.
- Familiarity with European German and French compliance issues and relevant law and regulation
- Strong management capabilities
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.
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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 opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds talents perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting developing and advancing individuals based on their skills and talents.
Required Experience:
Director
Employment Type
Full-Time
