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Operations Compliance Associate Job Details

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Operations Compliance Associate (Ref: 100730-KD-01)
Sector, Sub Sector: Capital Markets
Compliance Type: Regulatory/Compliance
Expertise: -
Company: Morgan Stanley
Location: Baltimore , Maryland Americas, United States
Employment Type: Permanent
Job Description:

Position Description
This individual will provide compliance support for global Operations.  Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, regulations, and applicable internal policies and procedures.  Candidate must demonstrate ability to effectively analyze complex situations, absorb large amounts of information, and apply judgment to resolve issues in a timely manner with minimal supervision. 

Job Responsibilities:
• Provide Compliance Support for retail/Inst. Operations and Regulatory Financial Controllers.
• Respond to Operational and Financial Controllers business inquiries. (Interpreting rules and regulations.)
• Assist in the design and maintenance of written supervisory procedures as prescribed in NASD 3010 and 3012.
• Assist in regulatory reviews, audits and other examinations.
• Design applicable training for business unit personnel
• Conduct Operational surveillance in the areas of P or C, confirms, statements and REG SHO.
• Actively monitor regulatory developments and trends, and take appropriate action to ensure the business unit complies with new or amended regulations.

Skills Required
• Five years proven Compliance, Auditing and/or Operations, experience
• Branch office exposure preferred.
• Knowledge of broker-dealer regulatory compliance including FINRA, NYSE, NASD and SEC regulations
• Working knowledge of brokerage operations, fixed income products, and trading systems.
• Knowledge of Banking and Lending Products a plus.
• Excellent organizational and communication skills.
• Series 7, 14, 24 and/or Series 27 a plus
Desired:
EDUCATIONAL REQUIREMENTS
Bachelors Degree
Job Ref No: 100730-KD-01