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About the Role
This VP level position within the Global Compliance Department provides Compliance Coverage for ISG Equity Sales and Trading, assisting the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk.
Responsibilities
- Provide compliance advisory support for IED and support functions, such as Technology, Risk, Operations, Controllers and Finance.
- Advise traders, sales traders, sales, supervisors, technology and others on regulatory requirements, compliance risk management and firm policies.
- Coverage includes equities, exchange traded products, convertibles and/or derivative products.
- Communicate with traders, sales, supervisors and others to assess risk and remediate issues.
- Assist in the creation, maintenance and implementation of compliance manuals, policies, procedures and written supervisory procedures.
- Assist in regulatory examinations, inquiries and audits.
- Design and deliver applicable training for business unit personnel.
- Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and amended regulations.
- Interact with technology and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.
Requirements
- 7+ years of related experience in investment banking
- Demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner
- Motivated self-starter, proficient in time management and able to initiate and manage projects
- Possess strong communications skills and must be confident when communicating with senior sales & trading personnel
- Must have strong analytical skills to be comfortable working with large volumes of trade data
- Comfortable interacting with and communicating regulatory requirements to technology and operations teams
Skills
- Strong knowledge of institutional equities broker-dealer regulatory compliance, including SEC, FINRA and other Exchange rules and regulations
Location
- Four days in office attendance weekly is required.
Work Type
- Full-time
Experience Level
- Vice President
Education Level
- Bachelor's degree required
Salary/Compensations
- Expected base pay rates for the role will be between 120000 and 210000 per year at the commencement of employment.
Benefits
- Comprehensive employee benefits and perks in the industry.
- Opportunity to work alongside the best and the brightest.
- Supported and empowered environment.
- Ample opportunity to move about the business for those who show passion and grit in their work.
About the Company
- Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
- At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals.
- Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.
- Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences.
- We are proud to support our employees and their families at every point along their work-life journey.
Equal Opportunity
- 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.
- Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
- For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.