Fiscal Year

2023

Case Number

A-22110-43349

Case Status

Certified

Received Date

2022-05-17

Decision Date

2023-02-21

Refile

N

Original File Date

2023-01-01 08:06:03

Previous SWA Case Number State

Schedule A Sheepherder

N

Employer Name

MORGAN STANLEY SERVICES GROUP INC

Employer Name Slug

morgan-stanley-services-group-inc

Employer Address 1

1585 BROADWAY

Employer Address 2

Employer City

NEW YORK

Employer City Slug

new-york

Employer State

NEW YORK

Employer State Slug

new-york

Employer Country

UNITED STATES OF AMERICA

Employer Postal Code

10036

Employer Phone

212-761-4000

Employer Number of Employees

47201

Employer Year Commenced Business

1935

NAICS Code

523110

FW Ownership Interest

N

Employer Contact Name

Joanna Lau

Employer Contact Address 1

1585 Broadway

Employer Contact Address 2

18th Floor

Employer Contact City

New York

Employer Contact State/Province

NEW YORK

Employer Contact Country

UNITED STATES OF AMERICA

Employer Contact Postal Code

10036

Employer Contact Phone

212-761-9436

Employer Contact Email

Joanna.lau@morganstanley.com

Agent Attorney Name

Katherine C MacIlwaine

Agent Attorney Firm Name

Ogletree Deakins

Agent Attorney Phone

(212) 492-2500

Agent Attorney Address 1

P.O. Box 31608

Agent Attorney Address 2

Agent Attorney City

Raleigh

Agent Attorney State/Province

NORTH CAROLINA

Agent Attorney Country

UNITED STATES OF AMERICA

Agent Attorney Postal Code

27622

Agent Attorney Email

katherine.macIlwaine@ogletreedeakins.com

PW Track Number

P10021152357597

PW SOC Code

11-9199

PW SOC Title

Compliance Managers

PW Skill Level

Level I

PW Wage

92539.00

PW Unit of Pay

Year

PW Wage Source

OES

PW Determination Date

2022-02-02

PW Expiration Date

2022-06-30

Wage Offer From

125000.00

Wage Offer To

0.00

Average Salary

125000.00

Wage Unit of Pay

Year

Worksite Address 1

1633 Broadway

Worksite Address 2

Worksite City

New York

Worksite City Slug

new-york

Worksite State

NEW YORK

Worksite Postal Code

10019

Job Title

Vice President, Legal & Compliance

Job Title Slug

vice-president-legal-compliance

Minimum Education

Other

Major Field of Study

Required Training

N

Required Experience

Y

Required Experience Months

24

Accept Alternative Field of Study

N

Accept Alternative Major Field of Study

Accept Alternative Combination

N

Accept Alternative Combination Education

Accept Alternative Combination Education Years

Accept Foreign Education

Y

Accept Alternative Occupation

Y

Accept Alternative Occupation Months

24

Accept Alternative Job Title

Manager, Associate, or related occupation in the legal and compliance field.

Job Opportunity Requirements Normal

Y

Foreign Language Required

N

Specific Skills

Requires two 2 years of experience with mergers and acquisitions transactions; equity offerings; Global Research Settlement and the requisite separation of investment banking and research functions for settling firms; developing and executing surveillance reviews that assure compliance with regulatory requirements; developing and delivering in person and online compliance training modules; developing compliance policies or procedures and manuals; preparing responses to inquiries from, and presenting to, regulators including FINRA and SEC; SharePoint; Actimize; Openpages; Trade preclearance system; and Microsoft Excel, PowerPoint, and Word.br br Requires one 1 year of experience with debt offerings; Equity bookbuild systems; DealAxis; SECs Regulation M and Notice filing requirements applicable under the FINRA Rule 5190; exceptions from trade reporting for transactions that are part of an Unregistered Secondary Distribution FINRA Rules 6282f1A, 6380Ae1A, 6380Be1A, and 6622e1A; FINRA Rule 5130 Restrictions on the Purchase or Sale of IPOs of Equity Securities; FINRA Rule 5131 New Issue Allocations and Distributions; and Regulation Best Interest Reg BI.br br Employer will accept any suitable combination of education, experience, or training.

Combination Occupation

N

Offered to Applicant Foreign Worker

Y

Foreign Worker Live on Premises

N

Foreign Worker Live in Domestic Service

N

Foreign Worker Live in Domestic Service Count

Professional Occupation

Y

Application for College/University Teacher

N

SWA Job Order Start Date

2022-02-14

SWA Job Order End Date

2022-03-17

Sunday Edition Newspaper

Y

First Newspaper Name

The New York Times

First Advertisement Start Date

2022-02-20

Second Newspaper Ad Name

The New York Times

Second Advertisement Type

Newspaper

Second Ad Start Date

2022-02-27

Employer Website From Date

2022-02-14

Employer Website To Date

2022-03-23

Professional Organization Ad From Date

2023-01-01 08:06:03

Professional Organization Advertisement To Date

2023-01-01 08:06:03

Job Search Website From Date

2022-02-21

Job Search Website To Date

2022-03-07

Employee Referral Program From Date

2023-01-01 08:06:03

Employee Referral Program To Date

2023-01-01 08:06:03

Local Ethnic Paper From Date

2022-02-23

Local Ethnic Paper To Date

2022-02-23

Radio/TV Ad From Date

2023-01-01 08:06:03

Radio/TV Ad To Date

2023-01-01 08:06:03

Employer Received Payment

N

Posted Notice at Worksite

Y

Layoff in Past Six Months

N

Country of Citizenship

INDIA

Foreign Worker Birth Country

INDIA

Class of Admission

H-1B

Foreign Worker Education

Other

Foreign Worker Information: Major

LAW

Foreign Worker Years of Education Completed

2016

Foreign Worker Institution of Education

UNIVERSITY OF MUMBAI

Foreign Worker Education Institution Address 1

KALINA, SANTACRUZ EAST

Foreign Worker Education Institution Address 2

Foreign Worker Education Institution City

MUMBAI

Foreign Worker Education Institution State/Province

MAHARASHTRA

Foreign Worker Education Institution Country

INDIA

Foreign Worker Education Institution Postal Code

400098

Foreign Worker Experience with Employer

N

Foreign Worker Employer Pays for Education

N

Foreign Worker Currently Employed

Y

Employer Completed Application

N

Preparer Name

Katherine C MacIlwaine

Preparer Title

Shareholder

Preparer Email

katherine.macIlwaine@ogletreedeakins.com

Employer Information Declaration Name

Joanna Lau

Employer Information Declaration Title

Principal Resource Specialist