eFinancialCareers

• Company

  Morgan Stanley

• Location

  USA-NY-New York City

• Compensation

  not disclosed

• Position Type

  Permanent

• Employment type

  Full time

• Updated

  20 Nov 2009

• eFC Ref no

  583995

See job description below

Position Category: Legal/Compliance

Position Title: Fixed Income Regulatory Oversight/Surveillance Officer

Job Level: Director

Location: USA - NY - New York

Education Required: Refer to Position Description

Position Description:
Responsibilities:

- Work with the Business Unit and the Compliance Advisory teams to establish and enhance the Supervisory and Compliance Oversight process, including supervisory manuals and related systems.

- Identify gaps and weaknesses and develop a corrective action plan to remediate them. Will take ownership of the remediation effort including report design, creation and implementation.

-Manage and communicate priorities among the Business Unit, IT, Operations, Compliance Advisory and Internal Audit.

-Work with IT to develop and enhance exception reports for Compliance and the Business. Will own this process from development through implementation.

-Work with Business Unit, Risk, Operations, Front and Back Office Technology, as well as Legal and Compliance Technology.

-Perform daily review of surveillance reports to detect possible violations of Rules, Regulations and Firm Policies.

-Research and respond to issues that may arise at the trading desk level regarding sales, trading, capital market questions.

-Perform research needed to respond to regulatory inquiries and examinations.

Preparation of a selected candidate:
The candidate will then be required to become familiar with the day-to-day operations of the trading desks and will be required to interact with staff members by providing answers to questions that may arise.



Skills Required:
Employment:
-- Must possess a good understanding and a working knowledge of the Compliance Surveillance Process and a basic knowledge of the rules and regulations governing the Fixed Income arena.

-Must understand complex Fixed Income trading instruments such as structured/securitized products and derivatives.

-5-10 years of relevant Compliance or Regulatory experience.

-Should possess strong written and oral communication skills.