VP, Fixed Income Municipals Compliance Coverage at Morgan Stanley

New York, New York, United States -

Full Time

Start Date

Immediate

Expiry Date

15 Apr, 26

Salary

205000.0

Posted On

15 Jan, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Municipal Securities Compliance, Regulatory Compliance, Communication Skills, Organization Skills, Multitasking, Prioritization

Industry

Financial Services

Description

> Provide Compliance support for both the Public Finance investment banking and underwriting business, and the municipal securities Sales & Trading desks, as well as related support functions > Communicate with senior business management, investment banking business and Sales & Trading 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 > Develop policies, procedures and training Skills Required > Minimum 5-7 years of municipal securities compliance or legal experience > Knowledge of broker-dealer and swap dealer regulatory compliance including MSRB, FINRA, SEC and CFTC 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 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. Salary range for the position: $120,000 and $205,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. 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 compliance support for public finance investment banking and municipal securities sales & trading. Actively monitor regulatory developments and ensure compliance with new regulations.