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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
The Morgan Stanley Wealth Management Compliance Product Advisory Group is responsible for the design, implementation and management of the compliance program for the following products and businesses: Fixed Income, Equities, Options, Futures, Foreign Exchange, OTC Derivatives, Structured Products and Syndicate, Mutual Funds, Unit Investment Trusts, Exchange Traded Funds, Exchange Traded Notes, Closed-End Funds, Offshore Funds, Insurance, Annuities, 529 Plans, Corporate and Institutional Solutions, and IRAs and BRPs.
The group also works closely with Legal, Risk, IT, Operations, and other areas within Compliance when executing the responsibilities described above. The person performing this advisory position will be responsible for assisting in the design, implementation and management of the overall compliance program for their coverage areas. · Provide (or assist in providing) Compliance support to certain segments of the Morgan Stanley at Work and Digital Solutions organization, including Shareworks by Morgan Stanley, Workplace Experience and Sales Enablement, Financial Wellness, and Strategic and Institutional Relationships (collectively, "MS at Work"). · Provide (or assist in providing) regulatory and compliance advice and guidance to the business groups, as well as to the Morgan Stanley Branches, the Regulatory Examination Group, the Early Dispute Resolution Unit, Operations, and Risk Units. · Conduct research and interpret applicable laws, regulations and guidance (or assist in research and interpretation), and provide (or assist in providing) guidance to the MS at Work business groups regarding compliance with such laws, regulations and guidance. · Review the adequacy of existing policies and procedures of the MS at Work business groups (or assist in such reviews) and, if appropriate, recommend and assist in implementing improvements in those areas. · Assist in the design and maintenance of written supervisory procedures for the MS at Work business groups, as prescribed in FINRA Rules 3110 and 3120. · Identify (or assist in the identification) of regulatory trends and developments, and assist in providing advice to the MS at Work business groups on how such trends and developments may impact their current activities, and work with the business groups to implement any required changes to current policy or practices. · Assist with the review of marketing materials for the MS at Work business groups and the Compliance Marketing Review team. · Collaborate extensively with the relevant MS at Work business management teams, various control and logistics functions and Legal to ensure compliance with regulatory requirements and Firm policies and procedures · Assist in regulatory reviews, audits and other examinations. · Assist in providing advice and guidance on FINRA, NYSE and SEC rules, regulations, and applicable internal policies and procedures. · Assist in conducting ongoing compliance risk assessments and coordinate with MS at Work business leads to identify and resolve control gaps. · Work with the Compliance Monitoring and Testing teams to create/enhance surveillance, monitoring, and testing processes. · Lead key projects and strategic initiatives relating to regulations/rules for specific products or business services.
Knowledge of or familiarity with any or all of the following: stock plan administration, executive services (control / restricted stock issues, 10b5-1 plan administration), directed share programs, and financial wellness businesses.
Knowledge or familiarity with Financial Services Industry rules and regulations and ability to analyze and assess new rules and regulations.
Knowledge of broker-dealer regulatory compliance including FINRA, NYSE and SEC regulations.
Strong verbal, written communications and organizational skills.
Solid academic background.
Solid interpersonal and communication skills, as well as excellent prioritization and organizational ability.
Must be confident and professional in all dealings with business personnel and senior management.
The ideal candidate will be proactive, possess good judgment, be solution-oriented and a team player.
Ability to lead or assist in leading special projects and strategic initiatives.
Work independently and to multi-task with minimal supervision
Demonstrate ability to effectively review and analyze complex situations and apply good judgment to resolve issues in a timely manner with minimal supervision.
Minimum of 4 years of relevant Legal or Compliance experience in the Financial Services Industry.
Series 7 Registration is preferred, but not required.
Internal Number: 5871826
About Morgan Stanley USA
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