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Prime Brokerage Compliance Professional

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 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 firm's invaluable reputation for integrity and protect the firm from sanctions trhough 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 firm's 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.

Group Overview:
The Sales and Trading Compliance Group in Institutional Securities Group (ISG) Compliance advises and assists the Firm's Sales and Trading Division in establishing, implementing and enforcing sales and trading practices. The Group 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
This individual will primarily provide advisory compliance support for the ISG Prime Brokerage businesses that serve a large institutional client base. The individual's responsibilities will include the following:
> Provide compliance coverage and support for our Prime Brokerage, Securities Lending and Fund Administration businesses.
> Collaborate with experts throughout the Legal and Compliance Department and across the Morgan Stanley enterprise.
> Provide regulatory guidance to Prime Brokerage employees, supervisors, management, risk, technology and other relevant stakeholders.
> Regularly meet with employees and supervisors / management to identify and assess risks and remediate issues.
> Review, create, update and implement policies and procedures, including written supervisory procedures (WSPs).
> Respond to internal and regulatory requests, including inquiries, reviews, tests, audits and exams.
> Design and deliver training on firm policies and regulatory topics.
> Actively monitor regulatory developments and trends. Take appropriate action to ensure the business is aware of and can comply with new or amended regulations.
> Evaluate transactional trends and patterns for potential escalations to relevant personnel. Skills required (essential)
> 1-5 years of related experience in a Compliance, Legal or Regulatory role
> Candidates must demonstrate an ability to effectively review and analyze data/situations and apply judgment to resolve issues in a timely manner.
> Candidates should have a strong desire to learn, work well as part of a team, while also working independently.
> The candidate should be proficient in time management and able to initiate and manage projects.
> Bachelor's degree required

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren鈥檛 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鈥檒l 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鈥檚 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鈥� into your browser.

Expected base pay rates for the role will be between $90,000 and $155,000 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'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).