Compliance Assessment Group recruitment
Position Category: Legal/Compliance
Position Title: Compliance Assessment Group
Job Level: Vice President
Location: USA - NY - New York
Education Required: Bachelors Degree
Position Description:
The Compliance Assessment Group within the Morgan Stanley Institutional Securities Legal and Compliance Group is responsible for planning, preparing and executing regulatory and compliance-based reviews. Businesses covered by the Compliance Assessment Group include Sales and Trading, Investment Banking, Research, Commodities/Futures, Prime Brokerage, Bank Resource Management and Operations Divisions. These reviews include desk, branch and targeted assessments which are primarily focused on evaluating controls and compliance with rules, regulations and Firm policies and procedures.
Responsibilities include managing a team in the development of risk based assessment programs, participating in information gathering sessions with business unit personnel (including senior management and support staff), reviewing work product produced by the team, including a written report and presenting results to management.
This position may also be involved in ad-hoc projects and internal committees. This role will role will be responsible for participating in scheduling and personnel decisions, as well as direct management of staff members and their annual performance evaluations.
Skills Required:
Excellent verbal and written communication skills.
Series 7 other certifications are a plus.