Americas Operations & Finance Regulatory Compliance Professional

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.

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.

The Global Compliance Department manages a firm‑wide Compliance Risk Management program, including compliance risks that transcend business lines, legal entities and jurisdictions of operation. This role is part of Shared Services Compliance which provides advisory coverage to the firm’s infrastructure divisions.

This non‑officer compliance role will assist in performing advisory and challenge functions across the 1st line, with a focus on Americas Operations and Finance. Key coverage areas include equity and fixed‑income operational groups, particularly regulatory reporting obligations and other post‑trade execution activities. This position is readymade for someone that wants to use their technical, business, and personal skills to navigate complex business models and rules to assist the firm achieve and maintain compliance.

Development opportunities expand current knowledge due to the vast array of global businesses across a mix of institutional and wealth‑management businesses.

• Provide 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 the development of policies and procedures to identify and implement processing efficiencies.
• Provide backup 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.
• Take a proactive approach that thrives 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.

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 everyday 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 environment where you…