Morgan Stanley
Equity and Fixed Income Research, Investment Banking, and Capital Markets Compliance Coverage Vice President
$120K–$205K
New York, New York · On-site · Director · Full-time · Posted Oct 21, 2026
- Experience
- 8+ years of compliance or equivalent experience; preferably supporting Research, Investment Banking or Capital Markets businesses.
- Education
- Bachelor's degree required; JD preferred but not required.
About the job
Provides compliance coverage and advice to Equity and Fixed Income Research, with occasional support for Investment Banking and Global Capital Markets, to manage regulatory risk and maintain compliance.
What you'll do
- Advise the business on U.S. regulations and monitor regulatory developments; coordinate issue remediation across business, Legal and Compliance teams.
- Draft and maintain policies, deliver training, and conduct monitoring, testing and surveillance of Research-related obligations.
- Support regulatory inquiries and audits, and develop oversight metrics and controls.
What they ask for
- Bachelor's degree.
- 8+ years of compliance or equivalent experience.
- Experience interpreting and advising on U.S. Research regulations, including SEC, FINRA and CFTC Research Conflicts of Interest Rules.
- Understanding of investment Research, conflicts of interest, information barriers, material non-public information, and equity and fixed income products.
Nice to have
- JD.
- FINRA Series 86 and 87 licenses.
Pay
$120,000 and $205,000 per year (base salary)
Tools
SEC, FINRA, CFTC
Model-written summary · the original posting is authoritative