U.S. ISG Core Compliance Professional

474 MS Services Group, Inc.; Dallas (TX); On-site; USD 77,000 - 117,000; Full time

Benefits offered by this job

Employee benefits

Job summary

Morgan Stanley is seeking a U.S. ISG Core Compliance Professional - Director to support the Americas Compliance Lessons Learned and Training programs and partner across Legal & Compliance, Coverage, Business Units and Shared Services.

You will coordinate enforcement action learnings to strengthen programs and manage training delivery across regions. The role requires 5+ years in compliance or risk management, strong communication, and cross-functional collaboration.

Qualifications

• 5+ years of experience in compliance, legal, risk management or related control function.
• Effective written and verbal communication skills with seniors and business partners across regions.
• Demonstrates ability to build relationships and collaborate across departments.
• Strong organizational and multi‑workstream project management skills.
• Proactive, detail oriented with sound judgment and problem solving.

Responsibilities

• Coordinate identification, analysis and communication of lessons learned from regulatory actions.
• Support annual review of SEC, FINRA and NFA regulatory priorities for readiness.
• Oversee content development and delivery of mandatory training across business units.
• Coordinate training populations, monitor completion, and prepare management reporting.
• Manage annual regulatory certification processes including LM-10/Form 5500 verification and SEC Rule 15a-6.
• Maintain program documentation across SharePoint, Teams, and repositories.
• Identify opportunities to improve governance, reporting and efficiency through automation.
• Support gift & entertainment initiatives and monitoring.
• Assist with implementation of new regulatory requirements.

Skills

Regulatory compliance experience

Stakeholder communication

Project management

Attention to detail

MS Office proficiency

Tools

Excel

PowerPoint

Word

Teams

SharePoint

Job description

We're seeking someone to join our team as a U.S. ISG Core Compliance Professional - Director who will support the ISG Americas Compliance Lessons Learned and Training programs and partner closely with colleagues across the Legal & Compliance Division, ISG Compliance Coverage, Business Units and Shared Services. The Americas Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities and equities), Investment Banking, Global Capital Markets, Research and Investment Management across the Americas region. The U.S. ISG Core Compliance team within ISG Americas Compliance is responsible for a broad range of regulatory, governance and program management activities, including: (i) assisting Compliance Coverage personnel with maintaining Compliance policies and procedures, monthly Policy Bulletin and Annual Policy Plan; (ii) monitoring regulatory developments from U.S. securities and futures regulators and self-regulatory organizations; (iii) maintaining an inventory of prioritized rules and regulations across key U.S. ISG jurisdictions and business lines; (iv) facilitating the preparation and submission of annual regulatory compliance reports and certifications; (v) developing and executing the department's Annual Compliance Training Plan; (vi) managing strategic initiatives and programs including the Lessons Learned program and annual review of regulatory priorities, Customer Complaints program, Gift & Entertainment initiatives and the Cross-Border framework; and (vii) producing governance metrics and management reporting for senior stakeholders.

What you'll do in the role:

• Coordinate the identification, analysis and communication of lessons learned arising from regulatory enforcement actions to strengthen compliance programs and enhance risk management practices.
• Coordinate the annual review of SEC, FINRA and NFA regulatory priorities, assessing emerging requirements and industry developments to support compliance program effectiveness and regulatory readiness.
• Support end-to-end execution of the Training program by partnering with Compliance Coverage teams to oversee content development and timely delivery of mandatory training across applicable business units.
• Provide cross-functional coordination among Compliance and Business Units to establish training populations, monitor completion rates, prepare management reporting and maintain documentation.
• Manage annual regulatory certification processes, including activities related to Department of Labor LM-10/Form 5500 verification and SEC Rule 15a-6 certification.
• Maintain complete and organized program documentation, records and supporting materials across SharePoint, Teams channels and other designated repositories.
• Identify opportunities to improve program governance, reporting and operational efficiency through process enhancements and automation.
• Support gift & entertainment-related initiatives, inquiries and monitoring activities.
• Assist with the implementation of new regulatory requirements and department initiatives.

What you'll bring to the role:

• 5+ years of experience in compliance, legal, risk management or a related control function; institutional securities experience preferred.
• Effective written and verbal communication skills, including the ability to engage with colleagues, senior stakeholders and business partners across regions.
• Desire to build strong relationships and collaborate across department and all levels of the organization.
• Strong organizational and project management skills, with the ability to manage multiple workstreams, maintain strong attention to detail and prioritize effectively in a fast-paced environment.
• Demonstrates sound judgment, critical thinking, intellectual curiosity and problem-solving capabilities.
• Self-motivated and detail-oriented with the ability to work independently while contributing effectively within a team environment.
• Proficiency in Microsoft Office applications, including Excel, PowerPoint, Word, Teams and SharePoint.
• Ability to quickly learn and leverage new technologies, systems and reporting tools.

Expected base pay rates for the role will be between 77000 and 116750 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.

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.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 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. At Morgan Stanley, we advise, originate, trade, manage and distribute capital for people, governments and institutions, always with a standard of excellence and guided by our core values. Morgan Stanley is dedicated to providing first-class service to our clients, in a way that reflects our commitment to creating a more sustainable future and fostering stronger communities around the world. In each line of business, we strive to demonstrate our belief in the power of transformative thinking, innovative strategies and leading-edge solutions - and in the ability of capital to work for the benefit of all society.