Vice President, Compliance

Morgan Stanley Services Group, Inc seeks a Vice President, Compliance in New York, New York

Review of Fixed Income and Equity Research against the Firm’s Watch and Restricted List for compliance

with relevant securities laws and with internal policies, such as the Firm’s M&A Research Policy. Maintenance of Firm 'Watch' and 'Restricted' lists, including necessary interactions with private-side deal team members and other relevant business unit contacts. Documentation and relevant notifications under the Firm’s Wall Crossing policies and procedures. Chaperon and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures. Employee trade pre-clearances for business units or individuals subject to trade pre-clearance with the Control Group due to their private side, Above-the-Wall or Over-the Wall status.

Salary:

Expected base pay rates for the role will be between $185,000 and $205,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Requirements:

Requires a Seven (7) years of experience in the position offered or Seven (7) years as a Vice President, Compliance or related occupation. Requires seven (7) years’ experience with: Advising on the adequacy and effectiveness of financial crime related policies, procedures and controls; Applying policy, procedures and controls to prospect and client scenarios escalated for review; Participating in client investigations; Identifying and analyzing suspicious financial crimes activity; Risk identification of material and non-material risks and risk assessment; Managing, extracting and analyzing information in database management systems; Process and data mapping; and Developing business requirement documentation.

Qualified Applicants: To apply, visit us at https://morganstanley.eightfold.ai/careers?source=mscom and enter JR000577 in the search field. No calls please.  EOE

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 environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).