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Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile Professionals within the Non-Financial Risk (NFR) Department of the Legal and Compliance Division 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 and have established a strong Oversight program covering communications and trade surveillance and testing of policies, processes, and controls. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.

Background on the Team The Americas ISG Compliance team within LCD's NFR Department helps manage the 2nd Line of Defense (LoD) ISG Non-Financial Risk Management program, including risks that transcend business lines, legal entities and jurisdictions of operation.

The ISG Americas Compliance Testing Team, as part of the NFR Department, is primarily responsible for assessing activities within the Institutional Securities Group (ISG), including Sales and Trading (Equities, Fixed Income and Commodities), Investment Banking, Global Capital Markets and Research, for adherence to applicable laws, rules, regulations and Firm policies and procedures and assessing the design and operating effectiveness of controls around relevant processes covering businesses in the US, Canada and Latin America. The activities conducted by the Testing Team are coordinated globally across ISG Compliance Testing teams in EMEA and Asia.

Primary Responsibilities Planning, preparing, and executing regulatory and compliance-based reviews for Sales & Trading, Commodities, Futures, Prime Brokerage, Bank Resource Management, Investment Banking, Research and Operations Divisions.

These reviews include desk, branch, and targeted assessments, which are primarily focused on evaluating the design and operating effectiveness of controls and compliance with rules, regulations and Firm policies and procedures.

The individual will be responsible for managing compliance tests, including conducting information gathering sessions with Business Unit personnel (including management, banking and sales and trading staff as well as support staff), deciding review scope, leading walkthroughs, performing substantive on-site testing, summarizing results, reviewing and approving workpapers, preparing, discussing and agreeing written test reports and relevant findings with management, and tracking all findings raised in the course of the review until resolution.

The increased usage and incorporation of data analytics into the testing program means that a person with strong technical and analytical skills is desired.

The role is in hybrid work environment with a minimum of three days in the office week.

Required Skills

7-10 years of compliance experience in the financial services industry, a regulator, a self-regulatory organization, compliance testing or internal audit. Excellent verbal and written communication. A strong understanding of institutional financial products, sales, trading, and systems. A strong understanding of risk and control in the financial industry with a practical understanding of how to design and execute relevant assurance tests. Excellent time management skills, attention to detail and ability to execute tasks within tight deadlines. Ability to facilitate meetings among stakeholders with diverse points of view. Good interpersonal skills and ability to work effectively with colleagues across regions and Business Units. A Bachelor's Degree in Business, Finance, Accounting, Law, Risk Management and/or a similar area of study.

Desired Skills

Experience in the design and application of analytical and technology tools for Compliance testing Project management. Series 7, other securities or futures licenses, or audit certifications (e.g., CIA, CA, CISA) a plus

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).

Expected base pay rates for the role will be between $110,000.00 and $190,000.00 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.

Job: *Compliance

Title: Institutional Securities Group (ISG) Compliance Testing Professional

Location: New York-New York

Requisition ID: 3252961