Americas Operations & Finance Regulatory Compliance Professional at Morgan Stanley

Baltimore, Maryland, United States -

Full Time

Start Date

Immediate

Expiry Date

11 Feb, 26

Salary

155000.0

Posted On

13 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Regulatory Interpretation, Advisory Support, Operational Efficiency, Cross-Functional Collaboration, Policy Development, Compliance Testing, Organizational Skills, Relationship Management, Broker-Dealer Background, Fixed Income Products, Governance, Controls, Multitasking, Proactive Approach, Collaboration, Creative Thinking

Industry

Financial Services

Description

Development opportunities to expand current knowledge due to vast array of global businesses across a mix of institutional and wealth management businesses. > Providing 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 development of policies and procedures to identify and implement processing efficiencies. > Provide back up 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. > Proactive approach that flourishes 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 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. 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. Expected base pay rates for the role will be between $90,000 and $155,000 per year at the commencement of employment. 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.

Responsibilities

Provide regulatory interpretation and advisory support to institutional and wealth management businesses, focusing on fixed income products. Assist in responding to regulatory exams and inquiries, making recommendations for policy and procedure development to enhance processing efficiencies.