Regulatory Compliance Officer – Regulatory Reform Strategy group Regulatory Compliance Officer – Regulatory Reform  …

Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Regulatory Compliance Officer – Regulatory Reform Strategy group
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.
Group Description
Institutional Securities Compliance seeks a Regulatory Compliance Officer to join the Regulatory Reform Strategy group. The Regulatory Reform Strategy group is responsible for the implementation and management of the overall compliance program for the bank's CFTC-regulated swap and SEC-regulated security-based swap business activities globally as well as coordinating and overseeing the Global Compliance Department's U.S. regulatory reform efforts. On a day-to-day basis, the position supports the Head of Regulatory Reform Strategy and works closely with various businesses and control functions to help ensure that the bank appropriately addresses the regulatory risks relative to its swap and security-based swap business activities.
Role Description
The principal responsibilities of this position include:
  • Recommending and implementing enhancements to the swap dealer and Volcker compliance programs and related policies/procedures to ensure that they are reasonably designed to achieve compliance with applicable requirements.
  • Assisting in developing a robust global compliance program for the bank's securities-based swap dealers, including assisting the bank's Chief Compliance Officers (CCO) in satisfying their duties and responsibilities under new SEC rules.
  • Assisting with annual gap analyses to identify and update impacted policies globally based on swap reform regulations, including CFTC, NFA, and SEC regulations.
  • Assisting with the development and implementation of policies/procedures to comply with international regulation applicable to the bank's swap activities in the U.S.
  • Developing and maintaining reports for review by trading and senior management analyzing business activities, compliance issues, conflicts of interest, among others including tracking status of issues disclosed in various annual reports.
  • Working with business management and compliance surveillance, testing, and audit staff on the development of swap dealer and Volcker controls and surveillance.
  • Working with compliance training staff on the development and coordination of initial and ongoing training for employees on both Volcker and the requirements impacting the Swap Dealer(s).
  • Assisting with preparing annual reports, including those for each Swap Dealer and any other required periodic reports that the CCO for these entities will be required to make to the governing body or relevant regulatory authorities.
  • Assisting stakeholders across the bank in understanding proposed swap and / or security-based swap rules and associated obligations to inform the bank's advocacy.


  • At least five years of compliance or regulatory experience, preferably with an investment bank, federal regulator or self-regulatory organization, or in a risk management function, or law firm
  • Strong knowledge of Title VII of the Dodd-Frank Act as pertains to the obligations of swap and security-based swap dealers
  • Familiarity with global derivatives and securities regulation
  • Self-starter who is able to execute time-sensitive projects against plans
  • Strong inter-personnel skills with a focus on developing relationships at all levels and across functions
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