VP, Equity Sales & Trading Compliance

Morgan-Stanley; Town of Islip (NY); Sur place; USD 120 000 - 210 000; Plein temps

Résumé du poste

Morgan Stanley's Global Compliance Department seeks a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading. The role involves advisory support across IED and support functions, and ensuring adherence to SEC, FINRA, and Exchange rules.

You will work with traders, sales, supervisors, and technology to assess risk, remediate issues, and contribute to manuals, training, and regulatory examinations. Four days in office weekly and a bachelor's degree are required.

Qualifications

• 7+ years of related experience in investment banking.
• Strong knowledge of institutional equities broker-dealer regulatory compliance, including SEC, FINRA and other Exchange rules and regulations.
• Bachelor's degree required.
• Four days in office attendance weekly is required.

Responsabilités

• Provide compliance advisory support for IED and support functions.
• Advise traders, sales traders, supervisors, technology and others on regulatory requirements and firm policies.
• Assist in the creation, maintenance and implementation of compliance manuals, policies, procedures and written supervisory procedures.
• Assist in regulatory examinations, inquiries and audits.
• Design and deliver applicable training for business unit personnel.
• Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and amended regulations.
• Interact with technology and risk management to ensure trading practices remain compliant.

Connaissances

Analytical skills

Regulatory knowledge

Communication skills

Time management

Project management

Self-starter

Formation

Bachelor's degree

Description du poste

Morgan Stanley's Global Compliance Department seeks a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading. The role involves advisory support across IED and support functions, and ensuring adherence to SEC, FINRA, and Exchange rules.

You will work with traders, sales, supervisors, and technology to assess risk, remediate issues, and contribute to manuals, training, and regulatory examinations. Four days in office weekly and a bachelor's degree are required.