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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.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
The candidate will join Morgan Stanley Wealth Management’s Compliance Department as a member of the Field Compliance Department. In this role, the candidate will serve as a senior member of the Field Compliance Department as well as the Regional Wealth Management business team. The candidate will have direct oversight of the region utilizing data from surveillance, conduct risk, testing, audit, risk management, and HR, which will assist in the identification of activity that may be indicative of unusual conduct, trading patterns, or potential violations of law, regulations, or internal policies.
***This role can be hired in New York, NY, Boston, MA, Chicago, IL, Philadelphia, PA, Atlanta, GA, Dallas, TX, or Los Angeles, CA
The successful candidate will be responsible for the following:
Providing Compliance guidance and advice to Regional Management on Firm and regulatory policies and procedures
Collaborating with Regional Management on all high-risk matters identified within the Region (e.g., sales practice issues, conduct, outside business activities, recruits)
Serving as the escalation point for Wealth Management Compliance teams on high-risk activities within the Region
Assisting with the development or enhancement of Firm policies and procedures, reports etc., to identify hidden risks or non-conforming issues
Conducting targeted training on key Compliance issues (e.g., non-cash compensation, outside business activities, guardianship
Providing trends and analysis reports on Compliance-related data for Regional Management
The Field Compliance group focuses on Compliance-related functions that support the Wealth Management field. It is comprised of the Regional Compliance, Field Compliance Review, Private Wealth Management/International Wealth Management, and Field Strategic Services teams.
A strong understanding of SEC and FINRA regulations, with a particular focus on sales practice and suitability concerns involving retail products in brokerage and advisory accounts
Extensive knowledge of Futures, Annuities, Structured Investments, Alternative Investments, Exchange-Trades Products, Fixed Income, Equities, Options, Unit Investment Trusts and Mutual Funds
A thorough understanding of conflicts of interest and business practices typically associated with a broker-dealer (e.g. gifts, non-cash compensation, outside business activities, etc.)
The ideal candidate will be proactive, have strong verbal and written communications skills and the ability to prioritize and handle multiple tasks in a fast-paced environment
Ability to analyze data and identify and escalate key trends, patterns and root causes
Evidence of strong leadership capabilities or previous supervisory experience
Relevant Wealth Management Business experience
Ability to work within a team and act independently
Proven ability to interact with Financial Advisors and branch staff in a mature productive manner
Excellent judgment and the ability to be discreet in all matters
About Morgan Stanley
We believe capital can work to benefit all of society We make this belief a reality by putting clients first, leading with exceptional ideas, doing the right thing, and giving back.