Fixed Income Compliance Officer - Securitized Products
Location: New York, New York
Type: Full Time
Preferred Education: Doctorate
Internal Number: 3208799
This individual will provide advisory compliance support for the Securitized Products Sales & Trading, Origination and Lending businesses. Candidate will be expected to provide advice on FINRA, CFTC, Federal Reserve, OCC and SEC rules, regulations, and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Candidate may have managerial responsibilities, which may include supervision of other members of the FID Compliance team.
Provide Compliance support for the Securitized Products Sales & Trading, Origination and Lending desks, as well as related support functions
Communicate with senior business management, risk management and Sales & Trading desk personnel regularly and address issues on a real-time basis
Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training
Assist other control functions in the maintenance of written supervisory procedures
Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation
Assist in regulatory reviews, audits, and other examinations
We believe capital can work to benefit all of society We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back.
If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.