Hello,
I come from a non target school, liberal arts major, limited in the area of finance. However I have an interview with Morgan Stanley for the compliance department. Seeing as how I am working on "breaking into the industry" I feel this is a good first step, if you will. Does anyone have any helpful information to share? It would be much appreciated.
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Personally, I would just keep up with the news and understand the regulations and scrutiny Wall Street has been dealing with for the past year or so.
Personally, I would just keep up with the news and understand the regulations and scrutiny Wall Street has been dealing with for the past year or so.
FINRA's website is a good resource for what regulators are looking to emphasize/are currently emphasizing and therefore compliance departments will have to get in front of for their firms. I would read through the following sections on the FINRA site "Industry Professionals > Regulation > Notices & Rule Filings" also "Industry Professionals > Compliance > Regulatory Filings". Any press releases about Firm X being fined $Y for Z violations, maybe FINRA is making a push on certain regs and therefore you know what's keeping your compliance interviewers up at night; you can speak intelligently about it. My two cents..
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