Investment Management Compliance Officer, Vice President

Morgan Stanley; City of Westminster; On-site; GBP 70,000 - 90,000; Full time

Job summary

A global financial services firm in London is seeking a Compliance Officer with 8-12 years of experience in investment management. The role involves collaboration with legal and product teams, policy development, and ensuring compliance with UK regulations. Strong analytical and communication skills are essential. This position supports a diverse and inclusive work environment.

Benefits

Attractive employee benefits

Flexible working arrangements

Qualifications

• 8-12 years' experience in investment management.
• Practical knowledge of UK and European fund regulations.
• Ability to contribute to regulatory change projects.

Responsibilities

• Collaborate with legal and product teams on compliance.
• Create and maintain compliance policies.
• Conduct monitoring checks for policy adherence.

Skills

Strong analytical skills

Communication skills

Teamwork

Priority management in dynamic environments

Interest in asset management

Job description

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 also advises on the rules and regulations of FCA, exchanges, and other bodies, as well as firm policies and procedures.

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing investment banking, securities, investment management, and wealth management services. The firm serves clients worldwide from over 1,200 offices in 43 countries. Our employees share values rooted in integrity, excellence, and teamwork, offering a platform for professional growth and development.

What will you be doing?

1. Collaborate with Legal and Product teams to review new products from a compliance perspective.
2. Establish standards through the creation and maintenance of compliance policies and procedures.
3. Educate colleagues via training and advisory support.
4. Coordinate with Morgan Stanley offices globally to ensure consistent compliance coverage.
5. Conduct monitoring checks to ensure adherence to policies and procedures.
6. Work with Global Financial Crimes and Operational Risk teams as part of the Non-Financial Risk group.

We seek a Compliance Officer with 8-12 years' experience in investment management, with flexibility for exceptional candidates. The candidate should have relationship-building skills with investment and product teams, practical knowledge of UK and European fund and asset management regulation (AIFMD, UCITS, MiFID), and the ability to contribute to regulatory change projects.

Skills that will help you

• Strong analytical and communication skills for explaining complex concepts.
• Teamwork and collaboration abilities.
• Capability to manage priorities in a dynamic environment.
• Interest in asset management and continuous learning.

Additional Information

The role is based in London within the Investment Management Compliance team, supporting multi-asset and alternative investment teams, with coverage extending to public equity, fixed income, and liquidity businesses. Morgan Stanley Investment Management manages over $1.6 trillion in assets, emphasizing long-term performance and client service.

We are committed to diversity, inclusion, and offering attractive employee benefits. Explore our global offices at https://www.morganstanley.com/about-us/global-offices. The role may require regulatory qualifications depending on certification status. Morgan Stanley supports flexible working arrangements and is an equal opportunities employer, fostering a supportive and inclusive environment.