Trade Supervision, Investment Solutions, Director, Wealth Management

icrosoft Excel Proficient in all Microsoft Office applications Knowledge of Bloomberg, Trace, EMMA, and other market pricing and valuation tools Knowledge of FINRA, MSRB, SEC rules and regulations Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://https://www.morganstanley.com/about-us/global-offices into your browser. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. Daily review of Fixed Income Fair Pricing exception reports Act in accordance with all relevant legal and regulatory requirements Identify and report risk issues, including any compliance or suitability issues Assist in the development of policies/procedures designed to ensure compliance with all industry/regulatory requirements Maintain close working relationships with risk staff to ensure appropriate resolution of all issues related to the fixed income businesses