Compliance Assessment Group Professional

Morgan Stanley Baltimore , MD 21203

Posted 2 months ago

Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management 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.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Group Overview

The Compliance Assessment Group ("CAG") is primarily responsible for assessing activities within Institutional Securities Group ("ISG") for adherence to applicable laws, rules, regulations and Firm policies and procedures. The activities conducted by CAG are coordinated globally across similar ISG teams and performed in conjunction with the Firm's Monitoring and Testing Program that was adopted pursuant to the conversion to a Financial Holding Company.

Required Skills

7 - 10 years of compliance experience in the financial services industry, a regulator, self-regulatory organization or in internal audit.

  • Excellent verbal and written communication.

  • An understanding of institutional financial products, sales, trading, and systems.

Desired Skills

  • Data analytics.

  • Project management.

  • Series 7, other securities or futures licenses, or audit certifications.

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Compliance Assessment Group Professional

Morgan Stanley