VP, Equity Sales & Trading Compliance Advisory

Morgan Stanley; New York (NY); Hybrid; USD 120,000 - 210,000; Full time

Job summary

Morgan Stanley is seeking a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading. In the Global Compliance Department, you will help manage legal, regulatory and franchise risk and protect the firm’s integrity.

The role demands advising on regulatory requirements, developing policies, and delivering training. Four days in office weekly is required, with extensive interaction across technology, risk, and operations.

Qualifications

• 7+ years of related experience in investment banking.
• Ability to review and analyze data to resolve issues in a timely manner.
• Strong knowledge of institutional equities broker-dealer regulatory compliance, including SEC, FINRA and other Exchange rules.
• Motivated self-starter, proficient in time management and able to initiate and manage projects.
• Strong communications skills and must be confident when communicating with senior sales & trading personnel.
• Strong analytical skills to handle large volumes of trade data.
• Bachelor's degree required.

Responsibilities

• Provide compliance advisory support for IED and support functions.
• Advise traders, sales traders, sales, supervisors, technology and others on regulatory requirements and firm policies.
• Coverage includes equities, exchange traded products, convertibles and/or derivative products.
• Communicate with traders, sales, supervisors and others to assess risk and remediate issues.
• 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 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 with Firm policies and regulation.

Skills

Regulatory compliance

Data analysis

Communication

Project management

Education

Bachelor's degree

Job description

Morgan Stanley is seeking a Vice President to provide Compliance Coverage for ISG Equity Sales and Trading. In the Global Compliance Department, you will help manage legal, regulatory and franchise risk and protect the firm’s integrity.

The role demands advising on regulatory requirements, developing policies, and delivering training. Four days in office weekly is required, with extensive interaction across technology, risk, and operations.