Compliance Officer - Equity Derivatives & Cross-Asset Coverage EMEA - Vice President

Morgan Stanley; London; On-site; GBP 75,000 - 100,000; Full time

Job summary

A global financial services firm in London seeks a Compliance Officer to oversee Equity Derivatives and Cross-Asset Coverage. This role involves providing advisory support across multiple stakeholders, developing policies, and ensuring compliance with UK regulations. The ideal candidate will have 6+ years of experience, strong analytical and communication skills, and a relevant degree. Competitive benefits and opportunities for flexible working are available.

Benefits

Flexible working arrangements

Comprehensive employee benefits

Qualifications

• 6+ years of relevant experience in Compliance.
• Familiarity with European and UK compliance issues.
• Ability to develop Compliance policies and procedures.

Responsibilities

• Provide real time advisory support to Sales and Trading teams.
• Develop Compliance policies, procedures, and training.
• Collaborate with Central Compliance teams for monitoring.

Skills

Compliance coverage experience

Analytical skills

Communication skills

Organizational skills

Ability to work in a team

Education

University graduate or equivalent

Professionally qualified in law or accountancy

Job description

Compliance Officer - Equity Derivatives & Cross-Asset Coverage EMEA - Vice President

London

JR017880

We're seeking a Compliance Officer to join our Legal and Compliance department, providing coverage of all Equity Derivatives sales and trading desks, as well as cross-asset coverage of Structured Products, Listed Derivatives, and Client Clearing for Equities, Fixed Income, and Commodities. This role offers a unique opportunity involving multiple product types and stakeholder groups.

The EMEA Legal and Compliance Department oversees and coordinates the Firm's compliance with regulatory requirements across all businesses, including Institutional Sales and Trading, Investment Banking, Research, and Investment Management in the EMEA region.

The Compliance Department provides guidance, advice, training, surveillance, and monitoring activities to support compliance with FCA, exchange, and other regulatory bodies' rules, as well as Firm policies.

Responsibilities include:

• Collaborating with Sales and Trading Compliance teams across Europe, providing real-time advisory support, and liaising with teams in the Americas, Asia Pacific, and Japan.
• Developing compliance policies and procedures, conducting training, reviewing new product assessments, and developing responses to regulatory changes.
• Working with Central Compliance teams on testing, monitoring, surveillance, and exchange inquiries.

Qualifications:

• Experience in Compliance coverage or product experience related to Derivatives, Structured Products, or Derivatives Clearing is advantageous.
• Strong judgment, initiative, and skills in communication, organization, and analysis.
• Knowledge of European and UK compliance laws and regulations.
• University degree or equivalent, and/or professional qualification (e.g., law, accountancy) with relevant financial services industry experience.
• Minimum of 6 years' relevant experience.

We offer a supportive, inclusive environment with opportunities for growth, competitive benefits, and a culture driven by our core values: putting clients first, integrity, innovation, diversity, and community engagement.