Suzanne Baricevic

Executive Director, Institutional Securities Group Compliance

Role: Executive Director at Morgan Stanley
Location: New York, NY, US
LinkedIn followers: 500 followers

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Experience

Executive Director
Morgan Stanley
Jul 2012 — Present
ISG Compliance MgmtFINRA Annual Compliance/SCP ReportsCFTC Annual CCO Reports (FCM & Swap Dealer)Policy and StrategyRegulatory DevelopmentsISG Client Remediation and Outreach:FINRA (Suitability)FINRA 2242 (Debt Research)Dodd-Frank CFTC Regulations:August 2012 Protocol, March 2013 Protocol, Cross Border, Initial Margin SegregationUncleared Margin RegimeSEC Municipal Advisor RuleMSRB SMMP Rule ChangesEMIRQFC

Education

Pace University-Pleasantville/Briarcliff Campus
BBA
1991 — 1995

Skills

Finra
Securities
Electronic Trading
Market Risk
Management
Swaps
Isda Protocols
Product Control
Cds
Abs
Equities
Dodd-Frank
Dealogic Compliance Manager
Fixed Income
Financial Markets
Markit Isda Amend
Trading
Investment Banking
Reference Data
Interest Rate Derivatives
Operational Risk Management
Equity Derivatives
Finra 2111 Certification
Derivatives
Middle Office
Market Data
Aml
Cftc Regulations
Structured Products
Trading Systems
Regulatory Compliance
Financial Services

Contact information

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Work email
s••••••••@morganstanley.com
Personal email
•••••@•••••.com
Direct dial
+12•••••••14

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Current company

Morgan Stanley

Financial Services · 10K employees · 1585 Broadway, New York, NY, 10036, US

Morgan Stanley is a leading global financial services firm providing investment banking, securities, wealth management and investment management services. With a 90-year history, Morgan Stanley today operates in 42 countries serving corporations, governments, institutions, families and individuals. Morgan Stanley is a talent business that demands ongoing investment in our people. Key drivers of our success have been the breadth and tenure of our talent, as well as a unique culture and a set of values that guide our employees. We view Morgan Stanley’s talent and culture as a key competitive advantage enabling the Firm to achieve its potential and drive future success. As an integrated firm with scaled capabilities, we partner with clients at every stage of their financial journey. Our ability to do so is grounded in four pillars that define Morgan Stanley: a clear and consistent strategy to help clients raise, manage and allocate capital; a culture grounded in rigor, humility and partnership; financial strength through capital, earnings power and durability; and growth driven by smart, strategic investment globally. These pillars enable Morgan Stanley to provide trusted advice, operate with resilience across market cycles and deliver long-term value to our clients and shareholders. Social Media Disclosures: mgstn.ly/SocialDisclosure

morganstanley.com

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Experience

Executive Director

Education

Pace University-Pleasantville/Briarcliff Campus

Skills

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