Fixed Income Global Capital Markets Compliance Advisory

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 25 Mar 19

Fixed Income Global Capital Markets Compliance Advisory

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.

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 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 firm's businesses.

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.

Advisory Compliance Officer will support Americas GCM professionals and other first line control functions, including Risk Management and the Syndicate and Loan Operations teams. The Role will focus on providing compliance advisory to the fixed income capital markets businesses, including investment and non-investment grade syndicate desks, asset backed offerings, project finance, leveraged finance teams (relationship and event loans), debt buybacks and debt private placements. The Compliance professional will also advise and assist the corporate derivatives desk with respect to interest rate and foreign currency swap activity. This role will require some dedicated time physically located with business. Responsibilities include:
Participate in additional projects as appropriate

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

Background on the Team

Global Capital Markets (GCM) Compliance provides an advisory and control service for the GCM Division to provide real time advice and monitor business activities for adherence to both Firm and regulatory requirements. The group monitors new rules and regulations and industry standards, and maintains written policies and procedures. We devise an annual compliance program and conduct and coordinate monitoring, testing and training for the division.

Primary Responsibilities

  • Provide real time advise to business on various regulatory and policy matters
  • Actively monitor regulatory developments and trends, and coordinate with the business unit to comply with new or amended regulations
  • Design and deliver applicable training for business unit personnel, infrastructure personnel and supervisors, as appropriate
  • Draft and maintain Compliance policies and procedures and Notices as well as Written Supervisory procedures as prescribed in FINRA Rule 3110
  • Coordinate and assist with execution of testing and monitoring program
  • Assist with regulatory inquiries, examinations and internal audits
  • Participate in annual Compliance Risk Assessment and annual compliance planning
  • Participate in New Product Approval process
  • Global coordination with regional Legal and Compliance peers
  • Interact with Risk Management to ensure business processes remain compliant with Firm and Department policies and industry regulation
  • Coordinate with IBD and equity capital markets compliance professiona ls


Skills required (essential)

  • Bachelor's degree required, JD a plus but not required
  • Minimum six years of compliance or equivalent experience, preferably supporting fixed income Capital Markets or desk experience
  • Strong written and oral communication skills with ability to effectively communicate with business professionals, risk managers and supervisors
  • Strong analytical skills, well organized, energetic and able to juggle multiple projects and assignments
  • Team player who works well with others at all levels