Morgan Stanley
Equities Sales & Trading Compliance Advisory Vice President
New York, New York · On-site · Director · Full-time · Posted Oct 30, 2026
- Experience
- 7+ years of related experience in investment banking
- Education
- Bachelor's degree required
About the job
Provides compliance advisory and risk coverage for Institutional Equity Sales and Trading, helping the business meet regulatory requirements and resolve compliance issues.
What you'll do
- Advise equity business and support teams on regulatory requirements, compliance risks, and firm policies; assess and remediate issues.
- Maintain compliance policies and supervisory procedures, support regulatory examinations and audits, and develop and deliver training.
- Monitor regulatory developments and work with technology and risk teams to keep trading practices and systems compliant.
What they ask for
- Strong knowledge of institutional equities broker-dealer compliance, including SEC, FINRA, and exchange rules.
- Strong analytical skills, including comfort working with large volumes of trade data.
- Strong communication skills, including communicating with senior sales and trading personnel and technology and operations teams.
- Bachelor's degree required; four days of in-office attendance weekly required.
Pay
120000 and 210000 per year (base salary)
Tools
SEC, Reg NMS, Reg SHO, Consolidated Audit Trail, FINRA Rules, Exchange Rules
Model-written summary · the original posting is authoritative