Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms 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 ethics. 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 Legal and Compliance 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 firms invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firms businesses. Background on the Team The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. Equity Sales and Trading Compliance Group ("Equity Compliance") advises on and assists the Firm's Equity Sales and Trading Division in establishing, implementing and enforcing sales and trading practices. Equity Compliance is responsible for reviewing business, compliance and supervisory processes and practices. The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices. Primary Responsibilities · Provide Compliance support for the Institutional Equity Division, as well as support functions: IT, Risk, Operations, Controllers, Finance. · Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules. · Communicate with traders and supervisors to assess risk and remediate issues. · Assist in the design and maintenance of written supervisory procedures. · Assist in regulatory reviews, including inquiries, audits and exams. · Design and deliver applicable training for business unit personnel. · Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations. · Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation. **Skills required ** · Series 7, 57 preferred, but not necessary · Minimum of three years of related experience · Candidate must demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner · Knowledge of broker-dealer regulatory compliance, including SEC, FINRA and other SRO rules and regulations. · Candidate should be a motivated self-starter, proficient in time management and able to initiate and manage projects · Bachelor's degree required **Primary Location: **Americas-United States of America-New York-New York **Work Locations: ** **Job: **Compliance **Organization: **Morgan Stanley **Job Posting: **Apr 26, 2018