Fixed Income Regulatory Oversight/Surveillance Officer, USA-NY-New York City
Fixed Income Regulatory Oversight/Surveillance Officer
Company:
Morgan Stanley
Location:
USA-NY-New York City
Remuneration:
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.
