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E*TRADE from Morgan Stanley · 2 months ago

Americas Operations & Finance Regulatory Compliance Professional

New York, New York, United States of America

Full-time

Onsite

Mid Level

$90K/yr - $155K/yr

4+ 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 role focuses on providing regulatory interpretation and advisory support to the institutional and wealth business, particularly in the areas of Equity and Fixed Income operational groups and regulatory reporting obligations.

BankingFinanceFinancial Services

Responsibilities

Providing regulatory interpretation and advisory support to the institutional and wealth business, operational and technology functions with a focus on fixed income products

Advise on applicable processes, controls, governance, and policies, and procedures

Assist in responding to regulatory exams and inquiries where Cross-functional collaboration is critical

Make recommendations to management regarding development of policies and procedures to identify and implement processing efficiencies

Provide back up and support to other Compliance personnel for business continuity

Offer regular review and challenge on new and existing regulatory requirements via the firm's testing, monitoring facilities and working alongside the compliance testing function

Proactive approach that flourishes in a high speed and collaborative environment

Broker-dealer background with a focus on operations

Ideally at least 4 years' relevant experience

Strong organizational skills with ability to prioritize and multitask

Ability to create and maintain relationships

Excellent oral and written communication skills

Qualification

Regulatory complianceAdvisory supportOperational controlsBroker-dealer backgroundFixed income productsRelationship managementOrganizational skillsCommunication skills

Required