Department Profile
The EMEA Legal and Compliance Department is charged with day-to-day oversight and coordination of the Firm’s compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities and equities), Investment Banking, Global Capital Markets, Research, and Investment Management across the EMEA region.
Role Details
Level: Associate
Location: Glasgow
Job Reference: JR036730
Team Profile
Regulators and exchanges continue to enhance their monitoring and oversight of the financial sector. As a result, requests for information from regulatory bodies have increased in number, scope and complexity. Morgan Stanley has established a dedicated regulatory enquiries function to coordinate the Firm’s response to these requests. In this role, you will work closely with senior team members and the function head, collaborating with stakeholders across the Firm to review and respond to requests from regulators and exchanges relating to EMEA business lines for trading and other information.
You will also support the EMEA Institutional Securities Group Trade Surveillance team in executing elements of the trade surveillance programme, which covers the design, implementation and operation of automated surveillance controls to detect and report market abuse and other misconduct risks across the Firm’s businesses.
What You Will Be Doing
* Review and respond promptly to enquiries related to the EMEA Institutional Securities and Investment Management business units.
* Partner with colleagues in Trade Surveillance (Glasgow, London, and offshore) to perform risk‑management due diligence on enquiries.
* Conduct daily surveillance of equities, derivatives, fixed income and commodities trading to monitor compliance with regulatory and exchange requirements.
* Resolve escalated alerts, document outcomes clearly, and escrow potential exceptions as appropriate (including submission of STORs to the UK FCA or other competent authorities).
* Perform data analysis and work closely with colleagues in business‑line Compliance coverage, Operations and Technology to understand trading flows and respond to detailed queries.
* Draft clear and concise tailored responses to bespoke, sometimes complex, requests.
* Assist in the production and enhancement of MI reporting.
* Assist in the delivery of ad‑hoc projects or initiatives.
What We’re Looking For
* Excellent communication skills; able to communicate clearly, concisely and effectively, both in person and in writing, to a range of stakeholders at all levels.
* Strong organisation, prioritisation and well‑developed execution skills; capable of managing competing deadlines and prioritising a varied workload.
* 2+ years of experience.
* Excellent attention to detail.
* Strong analytical skills; experience of analysing large data sets to identify patterns, potential anomalies and other exceptions.
* Able to build strong working relationships with key stakeholders across Compliance, Legal, and Business Control Unit, including staff based in other offices/countries.
* Ability to work both collaboratively and independently to meet regulatory deadlines; comfortable operating as part of a multi‑location team.
* Working knowledge of a range of asset classes and associated rules and regulations.
* Risk identification; able to assess the context and specifics of a matter to determine whether it may present broader concerns.
* Degree educated (or overseas equivalent).
* Familiarity with third‑party trade surveillance tools (e.g., Nasdaq Trade Surveillance, Actimize) and market data vendors (e.g., Bloomberg, Reuters Eikon) would be beneficial.
Equal Opportunity and Inclusion
Morgan Stanley is an equal‑opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. For more information, please visit https://www.morganstanley.com/people-opportunities/eeo.
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