Company Profile 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.
This individual will provide advisory compliance support for the Foreign Exchange Emerging Markets (FXEM) business and work in a team providing compliance support for the Credit Corporates Sales & Trading business. Candidate will be expected to provide advice on FINRA, CFTC and SEC rules, the FX Global Code, regulations and interpretive guidance, as well as applicable internal policies and procedures. Candidate must demonstrate 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. Candidate may have managerial responsibilities, which may include supervision of other members of the FID Compliance team.
Provide Compliance support for the FXEM Sales & Trading desks and Credit Corporates Sales & Trading, as well as related support functions
Communicate with senior business management, risk management 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
Minimum 6-10 years of credit corporates and fixed income compliance or legal experience
In-depth understanding of FX and credit products suite including spot, forwards, corporate bonds, CDS, loans, credit indices, and structured products
Knowledge of swap dealer and broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations as well as the FX Global Code
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