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U.S. ISG Core Compliance Professional

Posted on Oct 17

U.S. ISG Core Compliance Professional

Dallas, TX$77,000 – $116,750Posted 23 days ago

We're seeking someone to join our team as a U.S. ISG Core Compliance Professional - Director who will support the ISG Americas Compliance Lessons Learned and Training programs and partner closely with colleagues across the Legal & Compliance Division, ISG Compliance Coverage, Business Units and Shared Services.

The Americas Compliance Department is charged with day-to-day oversight and coordination of the Firm's compliance with core regulatory requirements covering all businesses including Institutional Sales and Trading (fixed income, commodities and equities), Investment Banking, Global Capital Markets, Research and Investment Management across the Americas region.

The U.S. ISG Core Compliance team within ISG Americas Compliance is responsible for a broad range of regulatory, governance and program management activities, including: (i) assisting Compliance Coverage personnel with maintaining Compliance policies and procedures, monthly Policy Bulletin and Annual Policy Plan; (ii) monitoring regulatory developments from U.S. securities and futures regulators and self-regulatory organizations; (iii) maintaining an inventory of prioritized rules and regulations across key U.S. ISG jurisdictions and business lines; (iv) facilitating the preparation and submission of annual regulatory compliance reports and certifications; (v) developing and executing the department's Annual Compliance Training Plan; (vi) managing strategic initiatives and programs including the Lessons Learned program and annual review of regulatory priorities, Customer Complaints program, Gift & Entertainment initiatives and the Cross-Border framework; and (vii) producing governance metrics and management reporting for senior stakeholders.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

- Coordinate the identification, analysis and communication of lessons learned arising from regulatory enforcement actions to strengthen compliance programs and enhance risk management practices.
- Coordinate the annual review of SEC, FINRA and NFA regulatory priorities, assessing emerging requirements and industry developments to support compliance program effectiveness and regulatory readiness.
- Support end-to-end execution of the Training program by partnering with Compliance Coverage teams to oversee content development and timely delivery of mandatory training across applicable business units.
- Provide cross-functional coordination among Compliance and Business Units to establish training populations, monitor completion rates, prepare management reporting and maintain documentation.
- Manage annual regulatory certification processes, including activities related to Department of Labor LM-10/Form 5500 verification and SEC Rule 15a-6 certification.
- Maintain complete and organized program documentation, records and supporting materials across SharePoint, Teams channels and other designated repositories.
- Identify opportunities to improve program governance, reporting and operational efficiency through process enhancements and automation.
- Support gift & entertainment-related initiatives, inquiries and monitoring activities.
- Assist with the implementation of new regulatory requirements and department initiatives.

What you'll bring to the role:

- 5+ years of experience in compliance, legal, risk management or a related control function; institutional securities experience preferred.
- Effective written and verbal communication skills, including the ability to engage with colleagues, senior stakeholders and business partners across regions.
- Desire to build strong relationships and collaborate across department and all levels of the organization.
- Strong organizational and project management skills, with the ability to manage multiple workstreams, maintain strong attention to detail and prioritize effectively in a fast-paced environment.
- Demonstrates sound judgment, critical thinking, intellectual curiosity and problem-solving capabilities.
- Self-motivated and detail-oriented with the ability to work independently while contributing effectively within a team environment.
- Proficiency in Microsoft Office applications, including Excel, PowerPoint, Word, Teams and SharePoint.
- Ability to quickly learn and leverage new technologies, systems and reporting tools.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. 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. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

Expected base pay rates for the role will be between 77000 and 116750 per year 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.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

About Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Size: 10,000+ employees
Industry: Financial Services

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