Career Center

Compliance coverage of customer asset protection, capital and financial reporting for Morgan Stanley's US non-bank standalone regulated legal entities, including broker-dealers (institutional and wealth management), security-based swap dealers, OTC derivative dealers and swap dealers. This opportunity is for someone that has the willingness and ability to learn and navigate complex business models and their associated rules, with a proactive approach that flourishes in a high speed and collaborative environment. Development opportunities to expand current knowledge due to vast array of global businesses across a mix of institutional and wealth management clients.
Compliance role includes:

• Provide Compliance coverage support to Finance and Operations teams responsible for customer asset protection, capital and financial reporting requirements
• Advise on applicable processes, controls, governance, policies, and procedures, including the design sufficiency of control processes and policies and procedures for regulatory requirements
• Track and advise on interpretation of new or proposed rules, and post implementation focus items
• Keep abreast of industry trends 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
• Provide support, including drafting as applicable, in connection with Compliance testing, Internal and External Audit, Regulatory Exams and Regulatory Continuous Monitoring Engagements
• Develop and maintain strong relationships with Regulators including SEC, FINRA, CFTC and NFA, as well as industry peers and internal stakeholders in Finance, Firm Risk Management, Operations, and the BU
• Perform monitoring and testing functions on covered areas

Qualifications

• Strong background on reserve formula and capital concepts with an understanding of, or ability to identify connections to margin, and possession or control concepts
• Minimum of 8 years of relevant experience
• Ability to analyze broker-dealer and other regulated legal entity ledgers and complex booking models
• Strong organizational skills with ability to prioritize and multitask
• Ability to create and maintain relationships
• Willingness to learn new topics
• Excellent oral and written communication skills

Expected base pay rates for the role will be between 110000 and 190000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

About Morgan Stanley

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.

Connections working at Morgan Stanley