Investment Management Compliance Officer, Vice President
Investment Management Compliance Officer, Vice President
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Job Description
Investment Management Compliance Officer Vice President
London
JR018459
The Investment Management Compliance team has a vacancy within the advisory coverage group based in London. You will participate fully in delivering the Compliance program for the investment management business. The primary focus of the role is supporting our Multi Asset and Alternatives teams although as part of a close-knit team responsibilities may include providing coverage for our public equity fixed income and liquidity businesses as well.
Morgan Stanley Investment Management (MSIM) is a leading asset manager across public and private markets focused on high conviction active management. MSIM together with its investment advisory affiliates has more than 1300 investment professionals around the world and $1.6 trillion in assets under management or supervision as of March 31 2025. Morgan Stanley Investment Management strives to provide outstanding long-term investment performance service and a comprehensive suite of investment management solutions to a diverse client base which includes governments institutions corporations and individuals worldwide.
The Compliance 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 FCA exchanges and other bodies and Firm policies and procedures.
About Morgan Stanley
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking securities investment management and wealth management services. The Firms employees serve clients worldwide including corporations governments and individuals from more than 1200 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 rooted 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.
What will you be doing
You will work closely with colleagues in the Legal and Product teams to review new products from a Compliance perspective.
You will set standards for our businesses through the creation and maintenance of Compliance policies and procedures.
You will educate colleagues in our business units by training them and by providing advice when required.
You will work with colleagues in Morgan Stanley offices across Europe as well as in Asia and the US to provide consistent and seamless coverage to global teams.
You will undertake monitoring checks to assess whether policies and procedures are being followed.
As part of the Non-Financial Risk group you will work closely with colleagues in our Global Financial Crimes and Operational Risk teams to provide a robust second line of defence.
Qualifications:
A Compliance Officer with between 8 and 12 years of experience in investment management. This experience can be in public markets or private markets and can be flexed for exceptional candidates.
Someone with the ability to build relationships with investment teams and product development teams.
Someone with practical experience in UK and European fund and asset management regulation which can include the AIFMD UCITS MiFID and related regulations.
Someone who can engage with new regulations and contribute meaningfully to regulatory change projects.
Skills that will help you in the role:
Excellent analytical and communication skills so that you can explain difficult concepts succinctly to colleagues around the globe.
The ability to work in a team both to help others and to ask for help when you need it.
The ability to work in a dynamic environment and manage competing priorities.
A keen interest in asset management and a desire to learn more.
Where will you be working
20 Bank Street Canary Wharf London.
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.
To learn more about our offices across the globe please copy and paste 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 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:
Chief
Employment Type
Full-Time
