eFinancialCareers

• Company

  Morgan Stanley

• Location

  USA-NY-New York City

• Compensation

  not disclosed

• Position Type

  Employee

• Employment type

  Full time

• Updated

  21 Nov 2008

• eFC Ref no

  476988

See job description below

Position Category: Equities Sales & Trading

Position Title: Regulatory Control Group Associate

Job Level: Associate/Sr Associate

Location: USA - NY - New York

Education Required: Bachelors Degree

Position Description:

Regulatory Control Group
Responsible for the following:
• Responsible for reviewing sales & trading exception reports on a daily basis and maintaining records relating to these reviews.
• Interact with IED supervisors, and, when necessary, traders and salespeople with regard to supervisory issues, exceptions and to obtain necessary sign-offs.
• Continually monitor the requirements of and compliance with applicable rules and regulations.
• Help monitor and make suggestions regarding overall supervisory program and help ensure that activities satisfy all pertinent legal, regulatory and Firm requirements.
• Review and make suggestions regarding policies and procedures.
• Help identify, design and implement new reports to ensure that the Firm keeps pace with the evolving Regulatory environment.
• Establish relationships and work closely with Risk Management, trading IT group, Operations and Compliance.
• Establish and maintain large data sets that include supervisory relationships and attributes
Experience -
• 2-5 years with a background in Compliance and/or Risk Management
• Solid understanding of applicable regulatory rules and regulations
• Strong project management skills
• Good business understanding
• Strong Communication Skills
• Working knowledge of MS Access



Skills Required:
Skills required -
Microsoft Excel, Word, MS Access (Intermediate - Expert)
Ability to handle multiple tasks in a timely and effective manner

Licenses required -
(sponsorship will be considered)
Series 4
Series 7
Series 9 & 10
Series 24
Series 55