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 1,200 offices in 43 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 ethics. 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.
Department Overview:
The Global Compliance Department manages a Firmwide Compliance Risk Management program, including compliance risks that transcend business lines, legal entities, and jurisdictions of operation.
Group Overview:
The Shared Services Compliance team provides Firm wide Compliance coverage and guidance to the Firm's Infrastructure Divisions.
The Americas Operations and Finance Compliance team, which is part of Shared Services Compliance provides coverage across Morgan Stanley's US non-bank standalone regulated legal entities, including broker-dealers, security-based swap dealers, OTC derivative dealers, swap dealers and futures merchant commissions, along with coordination with our banking and investment management legal entities. Our coverage is front-to-back, engaging groups across the front, middle, and back office. This includes select Finance groups, a wide variety of Operations, Business areas, and coordinated coverage with front office Legal and Compliance and Operational Risk.
Job Description:
This non-officer Compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus on Americas Operations and Finance. Areas include but not limited to post execution of trades, segregation, asset services, margin, capital and client and regulatory reporting. This opportunity is for someone that wants to use their technical, business, and personal skill sets to navigate complex business models and rules to assist the Firm achieve and maintain compliance. Development opportunities to expand current knowledge due to vast array of global businesses across a mix of institutional and wealth management businesses.
Responsibilities include:
> Assist in Compliance coverage support of Americas Operations and Finance across the institutional and wealth businesses, including new initiatives,
> Advise on applicable processes, controls, governance, and policies, and procedures,
> Keep abreast of industry trends, rules and emerging risks and anticipate regulatory focus areas, keeping internal stakeholders informed,
> Coordinate, draft, and present training materials to various internal constituencies, including Legal and Compliance, Finance, Operations, and Front Office, and
> Maintain Challenge Program by performing monitoring functions and engaging with the Compliance Testing teams.
> Assist in responding to regulatory exams and inquiries > Willingness and ability to learn new topics, with a focus on proactive learning. Topics include but not limited to:
o Operations functions
o Booking models
o Products
o Applicable rules
> Proactive approach that flourishes in a high speed and collaborative environment
> Broker-dealer background with a focus on operations
> Minimum of 2 years of relevant experience
> Strong organizational skills with ability to prioritize and multitask
> Ability to create and maintain relationships
> Excellent oral and written communication skills
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they 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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Salary range for the position: $80,000.00 - $135,000.00/Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).