Equities Sales & Trading Compliance Advisory Vice President

Morgan Stanley • New York, NY

1d • $120,000 - $210,000 • Hybrid

About The Position

This is a Vice President-level position in Morgan Stanley’s Global Compliance Department, providing Compliance Coverage for Institutional Securities Group (ISG) Equity Sales and Trading. The role supports the Institutional Equity Division (IED) and relevant support functions, helping the Firm manage legal, regulatory, franchise, and non-financial risks. The IED Compliance Coverage team provides coordinated, forward-looking independent coverage, sets standards, challenges and oversees business practices, and helps address potential issues and regulatory obligations.

The successful candidate will advise business personnel on regulatory requirements, compliance risk management, and Firm policies across equities, exchange-traded products, convertibles, and/or derivative products. The role also contributes to compliance policies and supervisory procedures, regulatory examinations, training, monitoring regulatory developments, and ensuring trading technology and practices comply with Firm policies and industry regulation. Four days of in-office attendance each week is required.

Requirements

• At least 7 years of related experience in investment banking.
• Bachelor’s degree required.
• Strong knowledge of institutional equities broker-dealer regulatory compliance, including SEC, FINRA, and other exchange rules and regulations.
• Ability to review and analyze data and situations, apply judgment, and resolve issues in a timely manner.
• Strong analytical skills and comfort working with large volumes of trade data.
• Strong communication skills and confidence communicating with senior sales and trading personnel.
• Comfort interacting with technology and operations teams and communicating regulatory requirements to them.
• Self-motivated, proficient in time management, and able to initiate and manage projects.
• Must attend the office four days per week.

Responsibilities

• Provide compliance advisory support to IED and support functions, including Technology, Risk, Operations, Controllers, and Finance.
• Advise traders, sales traders, sales personnel, supervisors, technology teams, and others on regulatory requirements, compliance risk management, and Firm policies.
• Provide guidance on SEC regulations, including Reg NMS, Reg SHO, and the Consolidated Audit Trail; FINRA rules; and equity and options exchange rules.
• Cover equities, exchange-traded products, convertibles, and/or derivative products.
• Communicate with business personnel to assess risks and remediate issues.
• Assist in creating, maintaining, and implementing compliance manuals, policies, procedures, and written supervisory procedures.
• Assist with regulatory examinations, inquiries, and audits.
• Design and deliver applicable training for business unit personnel.
• Monitor regulatory developments and trends and take appropriate action to ensure compliance with new and amended regulations.
• Work with technology and risk management to ensure trading technology and trading practices comply with Firm policies and industry regulation.

Benefits

• Morgan Stanley-sponsored employee benefit programs and perks are mentioned; specific benefits are not listed.
• Potential commission earnings, incentive compensation, discretionary bonuses, and other short- and long-term incentive packages may be part of total compensation, depending on the position.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior