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Morgan Stanley · 3 months ago

Global Capital Markets Business Control Unit, Vice President

New York, New York, United States of America

Full-time

Onsite

Mid, Senior Level

$140K/yr - $250K/yr

5+ years exp

Morgan Stanley is a leading global financial services firm, and they are seeking a Vice President for their Global Capital Markets Business Control Unit in New York. This role involves managing business unit risk, advising on regulatory developments, and collaborating with various stakeholders to develop and implement policies and procedures.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Business unit risk management, focusing on identification, assessment and mitigation of potential risks associated with the Global Capital Markets – Americas businesses, either in the context of new origination or existing transactions

Sitting with and providing advice to the business, in consultation with applicable groups e,g Global Financial Crimes, Operations, Finance, Legal and Compliance, e.g. relating to transaction structure, due diligence & onboarding

Working with the business to understand need for additional policies, procedures, guidance and /or training and developing the associated training materials and draft policies and procedures

Partnering with Legal and Compliance and other constituents to socialize policies, procedures and trainings and then implement and embed within the business

Advising the business on regulatory developments and changes in legal requirements; assisting with responses to regulatory inquiries

Managing broader Firm projects affecting/involving GCM-Americas as well as GCM-Americas driven initiatives

Providing general capital markets advice to GCM, including coordinating with colleagues in non-US offices in London, Hong Kong, and Japan

Qualification

EquityDebt capital marketsRegulatory complianceRisk managementJuris Doctorate degreeAnalytical skillsInterpersonal skillsCreative problem solvingOrganizational skillsLeadershipCommunication skills

Required

5+ years of experience with primary focus in equity and debt capital markets, derivatives and lending products

Excellent analytical, oral and written communication skills and ability to develop commercial solutions which demonstrate sound judgment relative to the risks

Excellent interpersonal skills necessary to forge strong and effective working relationships with key stakeholders across the business and across various regions

Demonstrated ability to be creative in developing alternative solutions in a dynamic, fast-paced and challenging environment

Goal oriented, follows through on tasks, remediation and implementation

Flexibility to handle real time prioritization/re-prioritization and availability

Comfortable with leadership

Curious and creative, interested in new challenges

Thinks like an owner

Capacity to work and make informed decisions independently as well as partner with colleagues and clients

Strong organizational skills needed to handle the coordination of multiple priorities

Understanding of the external regulatory environments and trends relevant to capital markets, including matters arising under the Securities Act of 1933 and the Securities Exchange Act of 1934 and associated FINRA rules

Experience engaging and overseeing external counsel as necessary