Morgan Stanley · 4 months ago
VP, Frameworks Compliance Officer
New York, NY
Full-time
Onsite
Mid Level
$120K/yr - $205K/yr
4+ years expMorgan Stanley is seeking a Compliance Officer to join the Swap Dealer Compliance group in its Global Compliance Department. The role involves supporting the Head of Swap Dealer Compliance and working closely with various businesses to ensure compliance with regulatory risks related to swap and security-based swap business activities.
Asset ManagementFinanceFinancial ServicesLending
Responsibilities
Assisting in developing and maintaining a robust global compliance program for the Firm's swap and security-based swap dealers, including assisting each applicable Chief Compliance Officer (CCO) in satisfying their duties and responsibilities under CFTC and SEC rules
Assisting with annual gap analyses to identify and update impacted policies globally based on new or amended swap and security-based swap regulations or guidance promulgated by 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 and security-based swap activities, particularly those activities implicating U.S. jurisdiction
Works with regulators, regional Compliance coverage, internal and external subject matter experts, and business unit management to continue to enhance and implement consistent global standards for the Firm's global swap dealer and security-based swap dealer compliance framework
Assisting in developing and maintaining a robust global compliance program to ensure that the Firm's non-U.S. banking operations are operating pursuant to the restrictions and conditions set forth in Regulation K of the Federal Reserve Act, including those provisions applicable to non-U.S. banks
Recommending and implementing enhancements to the compliance programs described above and related policies/procedures to ensure that they are reasonably designed to achieve compliance with applicable requirements
Advises the business on regulatory developments and related control enhancements
Developing and maintaining reports for review by 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 applicable controls and surveillance
Working with compliance training staff on the development and coordination of initial and ongoing training for employees on requirements impacting the frameworks maintained by the Group
Qualification
Required
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 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 who is able to execute time-sensitive projects against plans
Strong inter-personnel skills with a focus on developing relationships at all levels and across functions
Experience in 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
Preferred
advanced degree
Benefits
Medical
Prescription Drug
Dental
Vision
Health Savings Account
Dependent Day Care Savings Account
Life Insurance
Disability and Other Insurance Plans
Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually)
10 Paid Holidays
401(k)
Short/Long Term Disability
Company
Morgan Stanley
Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1997-02-05IPO
Leadership Team
James Gorman
Chairman and CEO
Ted Pick
Chief Executive Officer (CEO)
Recent News
South China Morning Post
2026-01-25
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