VP, Global Research Compliance – Equity & Fixed Income

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

Benefits offered by this job

Comprehensive employee benefits

Opportunities for career advancement

Inclusive work environment

Job summary

Morgan Stanley is seeking a Vice President in Global Compliance to provide compliance coverage for the Research business, focusing on equity and fixed income activities. This role requires at least 8 years of experience in compliance and a solid understanding of U.S. Research regulations.

The ideal candidate will possess strong analytical and communication skills and be prepared to engage with various stakeholders to ensure adherence to compliance requirements.

Competitive salary range of $120,000 to $205,000 per year, with opportunities for additional compensation based on performance.

Qualifications

• 8+ years of compliance experience, preferably in Research or Investment Banking.
• Strong understanding of equity and fixed income products.
• FINRA licenses (series 86 and 87) beneficial but not required.

Responsibilities

• Support Research Compliance Coverage, focusing on Equity and Fixed Income.
• Advise the business on U.S. regulations including SEC and FINRA.
• Draft and maintain Compliance policies and procedures.
• Monitor regulatory developments and ensure compliance.

Skills

Compliance expertise

Regulatory knowledge

Risk assessment

Strong communication skills

Analytical skills

Education

Bachelor's degree

JD (preferred)

Job description

Morgan Stanley is seeking a Vice President in Global Compliance to provide compliance coverage for the Research business, focusing on equity and fixed income activities. This role requires at least 8 years of experience in compliance and a solid understanding of U.S. Research regulations.

The ideal candidate will possess strong analytical and communication skills and be prepared to engage with various stakeholders to ensure adherence to compliance requirements.

Competitive salary range of $120,000 to $205,000 per year, with opportunities for additional compensation based on performance.