Job Title

Company Profile: Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment, 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. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firms management of legal, regulatory and franchise risk. What youll do in the role: Morgan Stanley Services Group, Inc. is seeking an Associate, Coverage Advisory in New York, New York to ensure the Firm's products comply with all relevant laws and regulations by preparing and submitting documentation, staying current with regulatory changes, and acting as a liaison with government agencies. Ensure the Firm is in compliance with Swap Dealer obligations, including transaction reporting and business conduct regulations. Provide guidance on updates to system architecture of the Firms transactional reporting systems. Advise in the development of Firm systems and enhancements to ensure regulatory requirements are met. Train Operations staff on regulatory issues related to their business units coverage area. Assist the Firms Regulatory Inquiries Group and Examinations team with FINRA, SEC, NFA and CFTC exams and regulatory requests. Overlook monitoring activities and desk reviews to monitor for compliance with relevant regulations and internal policies. Assist with the semi-annual sub certification process mandated by the CFTC. Partner with the Operations team to guide enhancements to the Firms transaction reporting control framework. What youll bring to the role:-Requires a Bachelors degree in Business Management, Finance, or a related field of study-Requires two (2) years of experience in the position offered or two (2) years as an Operations Specialist, Analyst, or a closely related occupation-Requires two (2) years of experience with the following skills: Regulatory reporting including reporting to the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and Canadian Securities Administrators (CSA); third-party regulatory frameworks including the International Swaps and Derivatives Association (ISDA), and Depository Trust & Clearing Corporation (DTCC); over-the- counter (OTC) derivatives; fixed-income products; the full trade lifecycle from pre-onboarding to settlement; Power BI; data analytics including trend analysis, diagnostic testing, and quality and completeness analysis; SQL; writing, maintaining and updating procedures; regulatory interpretation and implementation; and cross-functional collaboration. Expected base pay rates for the role will be between $120,000 and $120,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Qualified Applicants: To apply, visit us at and enter JR027337 in the search field. No calls please. EOE