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E*TRADE from Morgan Stanley · 5 months ago

VP, Fixed Income Municipals Compliance Coverage

New York, New York, United States of America

Full-time

Onsite

Mid, Senior Level

$120K/yr - $205K/yr

5+ years exp

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The VP, Fixed Income Municipals Compliance Coverage will provide advisory compliance support for the Municipal Securities Division, ensuring adherence to regulatory requirements and internal policies while managing compliance risks across the business.

BankingFinanceFinancial Services

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

Qualification

Municipal securities complianceRegulatory compliance knowledgeMSRBFINRASECCFTCCommunication skillsTime managementMultitaskingOrganizational 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