Morgan Stanley
Global Capital Markets Compliance Professional (Non-Officer)
Morgan Stanley, New York, New York, United States, 10001
Compliance Coverage Professional
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve, and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of our culture. The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities, and jurisdictions of operation. Global Capital Markets (GCM) Compliance provides an advisory and control service for the GCM Division to provide real time advice and monitor business activities for adherence to both Firm and regulatory requirements. The group monitors new rules and regulations and industry standards, and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing, and training for the division. Primary Responsibilities: Provide real time advise to business on various regulatory and policy matters Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate Draft and maintain Compliance policies and procedures and Notices, and advise on Written Supervisory procedures as prescribed in FINRA Rule 3110 Coordinate and assist with execution of testing and monitoring program Assist with regulatory inquiries, examinations, and internal audits Participate in annual Risk Assessment and annual compliance planning Participate in New Product Approval process Global coordination with regional Legal and Compliance peers Interact with the Business Control Unit to ensure business processes remain compliant with Firm and Department policies and industry regulation Coordinate with IBD and Global Capital Markets compliance professionals Participate in additional projects as appropriate Skills required (essential): Bachelor's degree required Three -five years of compliance or equivalent experience, preferably supporting Capital Markets or desk experience Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers, and supervisors Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments Team player who works well with others at all levels What You Can Expect From Morgan Stanley: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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. Expected base pay rates for the role will be between $90,000 and $155,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve, and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of our culture. The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities, and jurisdictions of operation. Global Capital Markets (GCM) Compliance provides an advisory and control service for the GCM Division to provide real time advice and monitor business activities for adherence to both Firm and regulatory requirements. The group monitors new rules and regulations and industry standards, and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing, and training for the division. Primary Responsibilities: Provide real time advise to business on various regulatory and policy matters Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate Draft and maintain Compliance policies and procedures and Notices, and advise on Written Supervisory procedures as prescribed in FINRA Rule 3110 Coordinate and assist with execution of testing and monitoring program Assist with regulatory inquiries, examinations, and internal audits Participate in annual Risk Assessment and annual compliance planning Participate in New Product Approval process Global coordination with regional Legal and Compliance peers Interact with the Business Control Unit to ensure business processes remain compliant with Firm and Department policies and industry regulation Coordinate with IBD and Global Capital Markets compliance professionals Participate in additional projects as appropriate Skills required (essential): Bachelor's degree required Three -five years of compliance or equivalent experience, preferably supporting Capital Markets or desk experience Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers, and supervisors Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments Team player who works well with others at all levels What You Can Expect From Morgan Stanley: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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. Expected base pay rates for the role will be between $90,000 and $155,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).