Director - Institutional Securities Compliance - Morgan Stanley - Sydney

Job description

POSITION SUMMARY

The Compliance officer’s main focus is to assist the Head of Institutional Compliance with day to day compliance responsibilities to manage Morgan Stanley’s regulatory risk and also preserve the Firm’s franchise through assisting the local and off-shore regulated institutional businesses to comply with, and monitor for compliance with, applicable laws, regulations, rules, internal policies and procedures, standards and industry best practice.



Ideally we are looking for someone who has Compliance experience in the following Business Units and product coverage groups.

BUSINESS UNIT & PRODUCT COVERAGE:

Institutional Equities Division – institutional equities and derivative products;
Fixed Income Division – fixed income, foreign exchange, OTC’s, futures;
Investment Banking Division – corporate transactions;
Equity Research – institutional research product; and
Infrastructure Divisions – settlement, IT, controller and operational global support.

KEY RESPONSIBILITIES:

Industry Developments - Keep abreast of industry developments by reading media releases, newspapers, regulatory circulars and bulletins, attending industry seminars etc and ensuring Head of Institutional Compliance and relevant Business Units are informed of relevant regulatory changes in addition to ensuring relevant Compliance documentation is updated accordingly;
Compliance Advisory - Provide timely advice in relation to Compliance related enquiries from all Business Units including sales and trading queries, new product approvals etc;
Compliance Training - Conduct Compliance induction training for new staff and assist in the preparation and conduct of relevant Compliance training for various business units;
Statutory Registers – assist in the maintenance of such registers;
Compliance Policies, Procedures, Manuals and Rule databases – draft, update and maintain;
Regulatory Liaison - investigate, compile and draft responses to regulatory enquiries, inspections Self Assessments and regulatory notifications;
Meetings/Committees - Attend and prepare documents for regular internal meetings and committees to keep members apprised of any regulatory developments or regulatory risks;
Compliance Reviews - Conduct Desk Reviews of Morgan Stanley’s Australian businesses to monitor for compliance with policies and procedures and prepare draft reports of findings for management.

Qualifications

REQUIRED SKILLS / EXPERIENCE/ QUALIFICATIONS:
Existing Compliance knowledge and 6 years’ experience from an Institutional Investment Firm or working in a Compliance department or with a regulator.
Previous Compliance or Legal experience is definitely an advantage and is preferred, although the candidate could have been in another highly regulated field.
Degree qualification in either Commerce/Business Economics, Law or related discipline.
Strong Knowledge of the Corporations Act and ASIC Market Integrity Rules and Exchange Operating Rules..
Strong practical product knowledge of cash equities, derivatives (ETO’s, Futures, OTC’s), fixed income products and automated trading engines
Preference will be given to candidates with strong institutional equity Compliance experience with a Global Investment Firm

DESIRABLE ATTRIBUTES:
Ability to work effectively in a small team environment
Ability to work independently, if required
Detail-orientated
Excellent verbal and written communication skills
Strong analytical skills
Ability to work under pressure when required

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