Equities Sales & Trading Compliance Advisory Vice President

We are seeking someone to join our team as a Vice President that will provide Compliance Coverage for ISG Equity Sales and Trading. In the Lega l& Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a VP level position within the Global Compliance Department.

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 Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. The Institutional Equity Division (IED) Compliance Coverage team in Institutional Securities Group (ISG) Compliance advises and assists IED in providing coordinated, comprehensive and forward looking independent coverage of non-financial risks across ISG.

Our mission is to set standards, provide effective challenge and oversight, and deliver best-in‑class coverage support, underpinned by deep local expertise and a global perspective, with a proactive and pragmatic approach to sound risk management. The Team is responsible for reviewing business, compliance, regulatory and supervisory processes and practices. The Group will coordinate, recommend and execute plans to address potential issues, fulfill regulatory obligations and promote best practices.

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.

What you will do in the role:
This individual will provide Compliance Coverage for ISG Equity Sales and Trading, responsibilities may include:
Provide compliance advisory support for IED and support functions, such as Technology, Risk, Operations, Controllers and Finance. Advise traders, sales traders, sales, supervisors, technology and others on regulatory requirements, compliance risk management and firm policies, which include SEC regulations (Reg NMS, Reg SHO, Consolidated Audit Trail), FINRA Rules - supervision, communications with the public, trade reporting, best execution, account opening and maintenance, and Exchange Rules (Equity and Options) - customer order protection & priority, market making, quoting, auctions, anti-manipulation and prohibited conduct, among other rules.

Coverage includes equities, exchange traded products, convertibles and/or derivative products. Communicate with traders, sales, supervisors and others to assess risk and remediate issues. Assist in the creation, maintenance and implementation of compliance manuals, policies, procedures and written supervisory procedures. Assist in regulatory examinations, inquiries and audits. Design and deliver applicable training for business unit personnel. Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and amended regulations.

Interact with technology and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.

What you'll bring to the role: 7+…