Morgan Stanley
VP, Fixed Income Municipals Compliance Coverage
Morgan Stanley, New York, New York, United States, 10001
Compliance Support For Municipal Securities Division
This individual will provide advisory compliance support for the Municipal Securities Division, including both Sales & Trading and the Public Finance business. Candidate will be expected to provide advice on MSRB, FINRA, SEC and CFTC rules, regulations, and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate the ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Job Responsibilities: Provide compliance support for both the Public Finance investment banking and underwriting business, and the municipal securities Sales & Trading desks, as well as related support functions Communicate with senior business management, investment banking business, and Sales & Trading desk personnel regularly and address issues on a real-time basis Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training Assist other control functions in the maintenance of written supervisory procedures Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation Assist in regulatory reviews, audits, and other examinations Develop policies, procedures, and training Skills Required: Minimum 5-7 years of municipal securities compliance or legal experience Knowledge of broker-dealer and swap dealer regulatory compliance including MSRB, FINRA, SEC, and CFTC regulations Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel Strong organization skills with the ability to multitask and prioritize Salary range for the position: $120,000 and $205,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off, 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit
mybenefits.morganstanley.com
to learn more about our benefit offerings. 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).
This individual will provide advisory compliance support for the Municipal Securities Division, including both Sales & Trading and the Public Finance business. Candidate will be expected to provide advice on MSRB, FINRA, SEC and CFTC rules, regulations, and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate the ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision. Candidate should be proficient in time management and able to initiate and manage projects. Job Responsibilities: Provide compliance support for both the Public Finance investment banking and underwriting business, and the municipal securities Sales & Trading desks, as well as related support functions Communicate with senior business management, investment banking business, and Sales & Trading desk personnel regularly and address issues on a real-time basis Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training Assist other control functions in the maintenance of written supervisory procedures Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation Assist in regulatory reviews, audits, and other examinations Develop policies, procedures, and training Skills Required: Minimum 5-7 years of municipal securities compliance or legal experience Knowledge of broker-dealer and swap dealer regulatory compliance including MSRB, FINRA, SEC, and CFTC regulations Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel Strong organization skills with the ability to multitask and prioritize Salary range for the position: $120,000 and $205,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off, 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit
mybenefits.morganstanley.com
to learn more about our benefit offerings. 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).