Australian Institutional Securities Compliance, Manager Australian Institutional Securities Compliance,  …

Morgan Stanley
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Competitive
Morgan Stanley
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Competitive
Australian Institutional Securities Compliance, Manager

About The Company

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 747 offices in 42 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.

About The Role

The Compliance Officer’s main focus is to assist with day to day compliance coverage of the Firm’s Institutional Securities Group in Australia, which comprises the Firm’s institutional businesses including Sales and Trading, Investment Banking, and Investment Management. The Compliance Officer’s responsibilities are 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.

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
• 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
• 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

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