Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage V[...]

Overview We’re seeking someone to join our team as Vice President in Global Compliance to support the Compliance Coverage function. In the Legal & 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. Responsibilities Provide compliance coverage to the Equity and Fixed Income Research business and occasional support to Investment Banking and Global Capital Markets. Advise the business pursuant to U.S. regulations including SEC and FINRA regulations, CFTC Research Conflicts of Interest Rules and other relevant regulations and guidance. Communicate with supervisors, analysts and infrastructure personnel to assess risk, remediate issues, and coordinate with Legal coverage and Business Control Unit as appropriate. Coordinate with Legal and Compliance coverage across business lines and regions. Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations. Design and deliver training for business unit personnel, including analysts, supervisory analysts, infrastructure personnel and supervisors. Draft and maintain compliance policies and procedures. Perform monitoring, testing and surveillance of Research‑related regulatory obligations. Assist in the development and execution of additional controls based on new business initiatives, regulation or anticipated regulatory focus. Assist in regulatory inquiries, internal audits and other examinations. Interact with the business, including risk functions, to ensure processes remain compliant with firm and department policies and applicable regulation. Develop, enhance and coordinate oversight metrics for supervisors. Participate in additional projects as appropriate, including compliance support for Investment Banking and Global Capital Markets. Qualifications Bachelor’s degree required; JD preferred but not required. 8+ years of compliance or equivalent experience, preferably supporting Research, Investment Banking or Capital Markets businesses. Experience interpreting and advising on U.S. Research regulations, including SEC, FINRA regulations and CFTC Research Conflicts of Interest Rules. Good understanding of the role of investment research and associated conflicts, information barriers, and concepts related to sensitive and material non‑public information. Strong understanding of equity and fixed income products. FINRA licenses including Series86 and87 beneficial but not required. Strong written and oral communication skills, with ability to communicate effectively with business professionals, risk managers and supervisors. Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments. Team player who works well with others at all levels. Compensation Expected base pay rates for the role will be between $120,000 and $205,000 per year at the commencement of employment. Base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, other short‑ and long‑term incentive packages, and other company‑sponsored benefit programs. Benefits The firm offers comprehensive employee benefits, including health, dental, and vision insurance, retirement plans, and other per‑k benefits designed to support work‑life balance. Equity‑Focused Employment Opportunity MorganStanley is an equal‑opportunity employer committed to building and maintaining a diverse workforce. For more information, please visit #J-18808-Ljbffr 474 MS Services Group, Inc.