Fixed Income Compliance Officer, Vice President - Securitized Products and Rates

We are seeking someone to join Global Compliance as a Vice President who will provide advisory compliance support for the Securitized Products Sales & Trading, Origination and Lending and the Rates Sales & Trading businesses. Candidate will be expected to provide advice on FINRA, CFTC, Federal Reserve, OCC and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures.

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.

The Fixed Income Division ("FID") Compliance Group provides a comprehensive advisory and control service to FID to monitor business activities for adherence to both Firm and regulatory requirements.

• Macro (including Interest Rates and FX)
• Credit Complex (including Credit Corporates, Securitized Products and Municipal Securities)
• Commodities

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

• Provide Compliance support for the Securitized Products Sales & Trading, Origination and Lending desks and the Rates Sales & Trading desks, as well as related support functions.
• Demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision.
• Proficient in time management and able to initiate and manage projects.
• Communicate with business management, risk management, Sales & Trading, Origination and Lending desk personnel regularly and address issues on a real-time basis.
• Actively monitor regulatory developments and trends, participate in industry forums to address new rule proposals, and take appropriate action to ensure the business unit understands and complies with new or amended regulations, including updates to desk policies and procedures and training.
• Assist other control functions in the maintenance of written supervisory procedures.
• Interact with operations and technology support to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.
• Assist in regulatory reviews, audits, and other examinations.
• Assist in developing policies, procedures, and training.
• Candidate should be proficient in time management and able to initiate and manage projects.

• Minimum 7-10 years of fixed income compliance or legal experience.
• In-depth understanding of Securitized Products suite including agency and non-agency securities (ABS, RMBS, CMBS, CLO, CMO), swaps and security-based swaps, residential mortgage loan trading and securitization, commercial mortgage origination and securitization and consumer loans.
• In-depth understanding of Rates Products suite including Treasury market practices, Treasury primary dealer auction activities, interest rate swaps and futures.
• Detailed knowledge of broker-dealer regulatory compliance including FINRA, CFTC and SEC regulations.
• Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization, and communicate and interact with both junior and senior business personnel.
• Strong organization skills with the ability to multitask and prioritize.
• J.D. (optional), Bachelor’s Degree required.

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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 are supported and…