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About the Role
Provide advisory compliance support for the Securitized Products Sales & Trading, Origination and Lending and the Rates Sales & Trading businesses. Advise on FINRA, CFTC, Federal Reserve, OCC and SEC rules, regulations, and interpretive guidance, as well as internal policies and procedures.
Responsibilities
- Provide Compliance support for the Securitized Products Sales & Trading, Origination and Lending desks and the Rates Sales & Trading desks, as well as related support functions
- Review and analyze complex situations, applying judgment to resolve issues in a timely manner with minimal supervision
- Manage projects effectively
- Communicate regularly with business management, risk management, Sales & Trading, Origination and Lending desk personnel, addressing issues in real-time
- Monitor regulatory developments and trends, participate in industry forums, and ensure business unit compliance with new or amended regulations
- Assist other control functions in maintaining written supervisory procedures
- Interact with operations and technology support to ensure trading technology and practices comply with Firm policies and industry regulation
- Assist in regulatory reviews, audits, and examinations
- Assist in developing policies, procedures, and training
Requirements
- Minimum 7-10 years of fixed income compliance or legal experience
- In-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans
- In-depth understanding of Rates Products suite including Treasury market practices, Treasury primary dealer auction activities, interest rate swaps and futures
- Detailed knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations
- Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel
- Strong organization skills with the ability to multitask and prioritize
Skills
- FINRA
- CFTC
- Federal Reserve
- OCC
- SEC
- Securitized Products
- Rates Products
- Broker-dealer regulatory compliance
- Communication
- Organization
- Time management
- Project management
Location
- Global
Work Type
- Full-time
Experience Level
- Vice President
- 7-10 years
Education Level
- Bachelor's Degree
- J.D. (optional)
Salary/Compensations
- $120,000 - $205,000
Benefits
- Comprehensive employee benefits and perks
About the Company
- Morgan Stanley is a global leader in financial services, known for evolving and innovating to better serve clients and communities in over 40 countries.
- The Global Compliance Department manages a Firmwide Compliance Risk Management program.
- The Fixed Income Division (FID) Compliance Group provides advisory and control services to FID, monitoring business activities for adherence to Firm and regulatory requirements.
- FID is divided into Macro, Credit Complex, and Commodities business areas.
- Morgan Stanley's values include putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back.
- The company offers opportunities to work alongside talented individuals in a supportive and empowering environment.
- Teams are described as relentless collaborators and creative thinkers, fueled by diverse backgrounds and experiences.
Equal Opportunity
- Morgan Stanley is an equal opportunity employer committed to building and maintaining a diverse workforce.
- Recruiting efforts reflect a strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on skills and talents.
- The workforce reflects a broad cross-section of global communities, bringing diverse backgrounds, talents, perspectives, and experiences.