> Independent review, re-performance and trend analysis of accounts, clients and Financial Advisors identified by supervisory alerts as warranting additional review for potential sales practice, product trade, and suitability concerns. > Recommend corrective action plans to rectify substantial sales practice and suitability issues identified through re-performance. > Provide advice and guidance on Compliance policies, securities regulations including Blue Sky State Laws and or suitability issues to the Market and Regional Risk Officers. > Develop and conduct training on product trade reviews and other Compliance related issues for Market and Regional Risk Officers. > Identify Market/Regional issues through the analysis and assessment of metrics, key performance indicators (KPIs) and other tools. > Evaluate trading activity for clients and Financial Advisors in order to identify Blue Sky State Law violations including Regulation S and Rule 144A. > Be able to identify, escalate and act upon significant risks/themes identified through the course of monitoring. > 0.6 to 2+ years in Compliance, Legal or Risk in the securities industry. > Proficient in navigating Bloomberg Terminal and leveraging its tools for data analysis, research and market insight. > A strong understanding of sales practice and suitability concerns around retail products. > Extensive knowledge of Fixed Income, Equities, Options, Closed End Funds and Mutual Funds. > Research and analyze transactions with respect to Blue Sky laws and regulations in various states to ensure compliance for customer transactions. > Review and update Blue Sky Securities Profiles on an as needed basis. > Provide guidance and trade support to Financial Advisors via Blue Sky Hotline an Skills > Outstanding attention to detail and follow-up > Maintain solid judgment while acting in accordance with all regulatory requirements. > Must be a service oriented, team-player eager to assist colleagues and members of the department at all levels. > Self-motivated, innovative, hardworking individual, who can handle changing priorities and multiple tasks in a timely fashion. > Strong time management/prioritization skills and solid judgment > Proficient in all Microsoft Office applications > Knowledge of Bloomberg, Trace, EMMA, and other market pricing and valuation tools > Knowledge of FINRA, MSRB, SEC rules and regulations 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. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.
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