Morgan Stanley
Americas Operations & Finance Compliance Professional
Morgan Stanley, Baltimore, Maryland, United States, 21201
Morgan Stanley Compliance Role
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. The Shared Services Compliance team provides Firm wide Compliance coverage and guidance to the Firm's Infrastructure Divisions. The Americas Operations and Finance Compliance team, which is part of Shared Services Compliance provides coverage across Morgan Stanley's US non-bank standalone regulated legal entities, including broker-dealers, security-based swap dealers, OTC derivative dealers, swap dealers, and futures merchant commissions, along with coordination with our banking and investment management legal entities. The non-officer Compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus on Americas Operations and Finance. Areas include but not limited to post execution of trades, segregation, asset services, margin, capital, and client and regulatory reporting. This opportunity is for someone that wants to use their technical, business, and personal skill sets to navigate complex business models and rules to assist the Firm achieve and maintain compliance. Development opportunities to expand current knowledge due to a vast array of global businesses across a mix of institutional and wealth management businesses. Responsibilities include: assisting in Compliance coverage support of Americas Operations and Finance across the institutional and wealth businesses, including new initiatives; advising on applicable processes, controls, governance, and policies and procedures; keeping abreast of industry trends, rules, and emerging risks and anticipating regulatory focus areas, keeping internal stakeholders informed; coordinating, drafting, and presenting training materials to various internal constituencies, including Legal and Compliance, Finance, Operations, and Front Office; maintaining Challenge Program by performing monitoring functions and engaging with the Compliance Testing teams; assisting in responding to regulatory exams and inquiries; willingness and ability to learn new topics, with a focus on proactive learning; and a proactive approach that flourishes in a high-speed and collaborative environment. Minimum of 2 years of relevant experience, strong organizational skills with the ability to prioritize and multitask, ability to create and maintain relationships, and excellent oral and written communication skills are required.
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. The Shared Services Compliance team provides Firm wide Compliance coverage and guidance to the Firm's Infrastructure Divisions. The Americas Operations and Finance Compliance team, which is part of Shared Services Compliance provides coverage across Morgan Stanley's US non-bank standalone regulated legal entities, including broker-dealers, security-based swap dealers, OTC derivative dealers, swap dealers, and futures merchant commissions, along with coordination with our banking and investment management legal entities. The non-officer Compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus on Americas Operations and Finance. Areas include but not limited to post execution of trades, segregation, asset services, margin, capital, and client and regulatory reporting. This opportunity is for someone that wants to use their technical, business, and personal skill sets to navigate complex business models and rules to assist the Firm achieve and maintain compliance. Development opportunities to expand current knowledge due to a vast array of global businesses across a mix of institutional and wealth management businesses. Responsibilities include: assisting in Compliance coverage support of Americas Operations and Finance across the institutional and wealth businesses, including new initiatives; advising on applicable processes, controls, governance, and policies and procedures; keeping abreast of industry trends, rules, and emerging risks and anticipating regulatory focus areas, keeping internal stakeholders informed; coordinating, drafting, and presenting training materials to various internal constituencies, including Legal and Compliance, Finance, Operations, and Front Office; maintaining Challenge Program by performing monitoring functions and engaging with the Compliance Testing teams; assisting in responding to regulatory exams and inquiries; willingness and ability to learn new topics, with a focus on proactive learning; and a proactive approach that flourishes in a high-speed and collaborative environment. Minimum of 2 years of relevant experience, strong organizational skills with the ability to prioritize and multitask, ability to create and maintain relationships, and excellent oral and written communication skills are required.