Morgan Stanley
Overview
VP, Frameworks Compliance Officer position at Morgan Stanley. The role sits in the Swap Dealer Compliance group within Global Compliance and supports the Head of Swap Dealer Compliance. The group manages the firm’s global compliance program for CFTC-regulated swap and SEC-regulated security-based swap activities and provides a framework for non-U.S. entities under Regulation K. Responsibilities
Assisting in developing and maintaining a robust global compliance program for the firm's swap and security-based swap dealers, including helping each applicable Chief Compliance Officer (CCO) meet duties under CFTC and SEC rules. Assisting with annual gap analyses to identify and update policies globally based on new or amended swap and security-based swap regulations or guidance from the CFTC, NFA, and SEC. Assisting with the development and implementation of policies/procedures to comply with international regulation applicable to the firm's swap activities, particularly those implicating U.S. jurisdiction. Collaborating with regulators, regional compliance coverage, internal and external subject matter experts, and business unit management to enhance and implement consistent global standards for the firm's global swap dealer and security-based swap dealer framework. Assisting in developing and maintaining a robust global compliance program to ensure non-U.S. banking operations operate under Regulation K restrictions and conditions of the Federal Reserve Act. Recommending and implementing enhancements to compliance programs and related policies to ensure they are reasonably designed to achieve regulatory compliance. Advising the business on regulatory developments and related control enhancements. Developing and maintaining reports for senior management analyzing compliance issues, conflicts of interest, or other matters, including tracking status of issues disclosed in annual reports. Working with business management and compliance surveillance, testing, and audit staff on the development of controls and surveillance. Collaborating with compliance training staff on initial and ongoing training for employees on requirements impacting the frameworks maintained by the Group. Qualifications
At least 4-7 years of compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a risk management function or law firm. Strong knowledge of Title VII of the Dodd-Frank Act as it pertains to the obligations of swap and security-based swap dealers and/or Regulation K. Familiarity with global derivatives and/or banking regulation. Self-starter with ability to execute time-sensitive projects against plans. Strong interpersonal skills with a focus on building relationships at all levels and across functions. Experience presenting to management. Exceptional attention to detail and strong analytical skills. Proficiency in Excel, PowerPoint, and Microsoft Office. Bachelor of Arts degree or equivalent required; advanced degree preferred. What You Can Expect From Morgan Stanley
We are committed to maintaining a first-class service and high standard of excellence. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide decisions daily. You’ll work with a team of collaborators and creative thinkers who support and empower each other. Morgan Stanley offers comprehensive employee benefits and opportunities for growth within a diverse, inclusive environment. Compensation and Benefits
Salary range for the position: $120,000 to $205,000 per year. Eligible for annual discretionary incentive compensation; participation in relevant business unit incentive plans and discretionary bonus components may apply. Benefits include Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and other plans, Paid Time Off, holidays, 401(k), and more. Please visit mybenefits.morganstanley.com for details. Equal employment opportunity statement: Morgan Stanley is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all employees.
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VP, Frameworks Compliance Officer position at Morgan Stanley. The role sits in the Swap Dealer Compliance group within Global Compliance and supports the Head of Swap Dealer Compliance. The group manages the firm’s global compliance program for CFTC-regulated swap and SEC-regulated security-based swap activities and provides a framework for non-U.S. entities under Regulation K. Responsibilities
Assisting in developing and maintaining a robust global compliance program for the firm's swap and security-based swap dealers, including helping each applicable Chief Compliance Officer (CCO) meet duties under CFTC and SEC rules. Assisting with annual gap analyses to identify and update policies globally based on new or amended swap and security-based swap regulations or guidance from the CFTC, NFA, and SEC. Assisting with the development and implementation of policies/procedures to comply with international regulation applicable to the firm's swap activities, particularly those implicating U.S. jurisdiction. Collaborating with regulators, regional compliance coverage, internal and external subject matter experts, and business unit management to enhance and implement consistent global standards for the firm's global swap dealer and security-based swap dealer framework. Assisting in developing and maintaining a robust global compliance program to ensure non-U.S. banking operations operate under Regulation K restrictions and conditions of the Federal Reserve Act. Recommending and implementing enhancements to compliance programs and related policies to ensure they are reasonably designed to achieve regulatory compliance. Advising the business on regulatory developments and related control enhancements. Developing and maintaining reports for senior management analyzing compliance issues, conflicts of interest, or other matters, including tracking status of issues disclosed in annual reports. Working with business management and compliance surveillance, testing, and audit staff on the development of controls and surveillance. Collaborating with compliance training staff on initial and ongoing training for employees on requirements impacting the frameworks maintained by the Group. Qualifications
At least 4-7 years of compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a risk management function or law firm. Strong knowledge of Title VII of the Dodd-Frank Act as it pertains to the obligations of swap and security-based swap dealers and/or Regulation K. Familiarity with global derivatives and/or banking regulation. Self-starter with ability to execute time-sensitive projects against plans. Strong interpersonal skills with a focus on building relationships at all levels and across functions. Experience presenting to management. Exceptional attention to detail and strong analytical skills. Proficiency in Excel, PowerPoint, and Microsoft Office. Bachelor of Arts degree or equivalent required; advanced degree preferred. What You Can Expect From Morgan Stanley
We are committed to maintaining a first-class service and high standard of excellence. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide decisions daily. You’ll work with a team of collaborators and creative thinkers who support and empower each other. Morgan Stanley offers comprehensive employee benefits and opportunities for growth within a diverse, inclusive environment. Compensation and Benefits
Salary range for the position: $120,000 to $205,000 per year. Eligible for annual discretionary incentive compensation; participation in relevant business unit incentive plans and discretionary bonus components may apply. Benefits include Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and other plans, Paid Time Off, holidays, 401(k), and more. Please visit mybenefits.morganstanley.com for details. Equal employment opportunity statement: Morgan Stanley is an equal opportunity employer. We value diversity and are committed to creating an inclusive environment for all employees.
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