Equity Sales and Trading Compliance Vice President
Welcome to Morgan Stanley, where we are dedicated to providing innovative financial solutions to our clients while maintaining the highest level of integrity and compliance. We are currently seeking a highly skilled and experienced individual to join our team as the Equity Sales and Trading Compliance Vice President.As the Equity Sales and Trading Compliance Vice President, you will play a critical role in ensuring that our equity sales and trading activities are in full compliance with regulatory requirements. You will work closely with our sales and trading teams to develop and implement compliance policies and procedures, as well as provide training and guidance on regulatory matters. Your expertise and leadership will be essential in maintaining our reputation as a trusted and responsible financial institution.To be successful in this role, you must have a deep understanding of regulatory requirements and a proven track record of implementing compliance programs in the financial services industry. You should also possess strong communication and interpersonal skills, as well as the ability to effectively collaborate with various stakeholders. If you are passionate about compliance and have a strong commitment to upholding ethical standards, we invite you to apply for this exciting opportunity at Morgan Stanley.
- Develop and implement compliance policies and procedures for equity sales and trading activities.
- Ensure that all equity sales and trading activities are in full compliance with regulatory requirements.
- Provide training and guidance to sales and trading teams on regulatory matters.
- Keep up-to-date with regulatory changes and ensure that the company is in compliance with all laws and regulations.
- Conduct regular audits and reviews to identify any compliance issues and recommend corrective actions.
- Collaborate with internal and external stakeholders, including regulators, to address compliance concerns and implement solutions.
- Monitor and report on compliance metrics and trends to senior management.
- Conduct investigations and resolve any compliance-related complaints or issues.
- Develop and maintain relationships with regulatory agencies and stay informed on industry best practices.
- Stay updated on industry developments and advise the company on potential impacts on compliance.
- Lead and manage a team of compliance professionals to ensure efficient and effective operations.
- Promote a culture of compliance and ethical conduct within the organization.
- Serve as a subject matter expert on compliance matters and provide advice and guidance to other departments.
- Participate in the development and implementation of new products and services, ensuring compliance from the outset.
- Collaborate with other departments, such as legal and risk management, to ensure a comprehensive and coordinated approach to compliance.
Extensive Knowledge Of Regulations: The Ideal Candidate Should Possess A Deep Understanding Of The Regulations Governing Equity Sales And Trading, Including Sec, Finra, And Dodd-Frank Regulations. They Should Also Be Familiar With Internal Compliance Policies And Procedures.
Proven Experience In Equity Sales And Trading Compliance: The Candidate Should Have At Least 8-10 Years Of Experience In Compliance Specifically Related To Equity Sales And Trading. They Should Have A Track Record Of Successfully Implementing Compliance Programs And Managing Regulatory Inquiries And Audits.
Strong Analytical And Problem-Solving Skills: A Successful Candidate Should Have Strong Analytical Skills To Identify Potential Compliance Risks And Develop Effective Solutions. They Should Also Have The Ability To Think Critically And Make Decisions In A Fast-Paced And Dynamic Environment.
Excellent Communication And Interpersonal Skills: As A Compliance Vice President, The Candidate Will Be Required To Interact With Various Stakeholders, Including Traders, Management, And Regulators. Strong Written And Verbal Communication Skills Are Essential To Effectively Communicate Compliance Requirements And Issues To A Diverse Audience.
Leadership And Management Experience: The Role Of A Compliance Vice President Involves Managing A Team Of Compliance Professionals. The Ideal Candidate Should Have Prior Experience In Managing And Mentoring A Team And Possess Strong Leadership Skills To Guide And Motivate Team Members. They Should Also Have The Ability To Collaborate And Build Relationships With Colleagues Across Different Departments.
Financial Analysis
Risk assessment
Regulatory compliance
Legal Research
Client communication
Compliance Training
Policy Development
Compliance monitoring
Market Knowledge
Audit Preparation
Trading Systems
Trade Surveillance
Communication
Conflict Resolution
Leadership
Time management
Interpersonal Skills
creativity
Attention to detail
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Equity Sales and Trading Compliance Vice President in New York, NY, USA is $150,000 - $250,000 per year. This range can vary depending on factors such as the size of the company, the individual's level of experience and expertise, and the specific responsibilities and duties of the role. Some top performers in this role may earn salaries well above this range.
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Morgan Stanley provides investment banking products and services to its clients and customers including corporations, governments, financial institutions, and individuals. It operates through the following business segments: Institutional Securities, Wealth Management, and Investment Management. The Institutional Services segment provides financial advisory, capital-raising services, and related financing services on behalf of institutional investors.
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