Global Capital Markets Compliance Professional (Non-Officer)

Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Background on the Team
The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.
Global Capital Markets (GCM) Compliance provides an advisory and control service for the GCM Division to provide real time advice and monitor business activities for adherence to both Firm and regulatory requirements. The group monitors new rules and regulations and industry standards, and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing and training for the division.

Primary Responsibilities
The Compliance Coverage professional will support Americas GCM professionals and other first line control functions, including the Business Control Unit. The Role will focus on (i) reviewing and analyzing legal and regulatory developments, and areas of regulatory and internal focus, applicable to the GCM business and assisting to enhance the GCM compliance framework as appropriate; and (ii) providing compliance advisory across the debt and equity capital markets businesses. Responsibilities include:
> Provide real time advise to business on various regulatory and policy matters
> Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations
> Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate
> Draft and maintain Compliance policies and procedures and Notices, and advise on Written Supervisory procedures as prescribed in FINRA Rule 3110
> Coordinate and assist with execution of testing and monitoring program
> Assist with regulatory inquiries, examinations and internal audits
> Participate in annual Risk Assessment and annual compliance planning
> Participate in New Product Approval process
> Global coordination with regional Legal and Compliance peers
> Interact with the Business Control Unit to ensure business processes remain compliant with Firm and Department policies and industry regulation
> Coordinate with IBD and Global Capital Markets compliance professionals
> Participate in additional projects as appropriate Skills required (essential)
> Bachelor's degree required
> Three -five years of compliance or equivalent experience, preferably supporting Capital Markets or desk experience
> Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers and supervisors
> Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments
> Team player who works well with others at all levels

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an envi