VP, Equities Compliance Advisory – Trading & Regs

474 MS Services Group, Inc.; New York (NY); On-site; USD 120,000 - 210,000; Full time

Job summary

Morgan Stanley in New York seeks a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading within the Global Compliance Department. The role supports traders, sales, supervisors and tech, ensuring adherence to SEC, FINRA and exchange rules, and overseeing regulatory risk across ISG equity products.

The candidate will develop and maintain compliance manuals, deliver training, monitor regulatory developments, and interact with technology and risk management to keep trading

Qualifications

• 7+ years of related experience in investment banking
• Ability to review and analyze data/situations and apply judgment to resolve issues
• Strong knowledge of institutional equities broker-dealer regulatory compliance (SEC/FINRA/Exchange rules)
• Motivated self-starter with time management and project initiation skills
• Strong communications skills, able to communicate with senior sales & trading personnel
• Bachelor's degree required; four days in office attendance weekly is required.

Responsibilities

• Provide Compliance Coverage for ISG Equity Sales and Trading across ISG Compliance
• Advise traders, sales traders, supervisors, technology and others on regulatory requirements and policies (SEC/FINRA/Exchange rules)
• Assist in creating, maintaining and implementing compliance manuals, policies and written supervisory procedures
• Assist in regulatory examinations, inquiries and audits and respond to inquiries
• Design and deliver applicable training for business unit personnel
• Monitor regulatory developments and take action to ensure compliance with new/amended regulations
• Coordinate with technology and risk management to ensure compliant trading practices

Skills

Regulatory compliance

SEC/FINRA knowledge

Analytical skills

Communication skills

Education

Bachelor's degree

Job description

Morgan Stanley in New York seeks a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading within the Global Compliance Department. The role supports traders, sales, supervisors and tech, ensuring adherence to SEC, FINRA and exchange rules, and overseeing regulatory risk across ISG equity products.

The candidate will develop and maintain compliance manuals, deliver training, monitor regulatory developments, and interact with technology and risk management to keep trading