Americas Operations & Finance Compliance Professional

Key Responsibilities

• Assist in Compliance coverage support of Americas Operations and Finance across the institutional and wealth businesses, including new initiatives,
• Advise on applicable processes, controls, governance, and policies, and procedures,
• Keep abreast of industry trends, rules and emerging risks and anticipate regulatory focus areas, keeping internal stakeholders informed,
• Coordinate, draft, and present training materials to various internal constituencies, including Legal and Compliance, Finance, Operations, and Front Office, and
• Maintain Challenge Program by performing monitoring functions and engaging with the Compliance Testing teams.
• Assist in responding to regulatory exams and inquiries
• Willingness and ability to learn new topics, with a focus on proactive learning. Topics include but not limited to:
  • Operations functions
  • Booking models
  • Products
  • Applicable rules

Qualification & Requirements

• Proactive approach that flourishes in a high speed and collaborative environment
• Broker-dealer background with a focus on operations
• At least 4 years’ relevant experience would generally be expected to find the skills required for this role
• Strong organizational skills with ability to prioritize and multitask
• Ability to create and maintain relationships
• Excellent oral and written communication skills

Benefits

Morgan Stanley offers a full spectrum of benefits, including 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 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees.