Fixed Income Compliance Lead: Securitized Products & Rates

Morgan Stanley; New York (NY); On-site; USD 120,000 - 205,000; Full time

Job summary

Morgan Stanley’s Global Compliance Department seeks an experienced professional for Fixed Income Compliance in New York. You will support Securitized Products and Rates desks, review complex scenarios, and advise management to ensure adherence to firm and regulatory standards.

The role emphasizes timely issue resolution, regulatory awareness, and collaboration across risk, trading and control functions, with a focus on maintaining robust controls and training programs.

Qualifications

• Minimum 7-10 years of fixed income compliance or legal experience.
• In-depth understanding of Securitized Products suite including ABS, RMBS, CMBS, CLO, CMO, swaps and securitization.
• In-depth understanding of Rates Products suite including Treasury practices and interest rate swaps.
• Detailed knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations.
• Excellent communication skills and credibility within the organization.
• Strong organization skills with the ability to multitask and prioritize.
• J.D. (optional), Bachelor’s Degree required.

Responsibilities

• Provide Compliance support for Securitized Products Sales & Trading, Origination and Lending desks and Rates Sales & Trading desks.
• Review and analyze complex situations and apply judgment to resolve issues.
• Communicate with business management and risk teams regularly to address issues in real time.
• Monitor regulatory developments and participate in industry forums.
• Assist in regulatory reviews, audits and other examinations.
• Develop policies, procedures, and training.

Skills

Fixed income compliance

Regulatory knowledge

Communication skills

Project management

Multitasking

Education

Bachelor’s Degree

J.D. (optional)

Job description

Morgan Stanley’s Global Compliance Department seeks an experienced professional for Fixed Income Compliance in New York. You will support Securitized Products and Rates desks, review complex scenarios, and advise management to ensure adherence to firm and regulatory standards.

The role emphasizes timely issue resolution, regulatory awareness, and collaboration across risk, trading and control functions, with a focus on maintaining robust controls and training programs.