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Wealth Management Compliance Associate Regional Compliance Officer
Morgan Stanley
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Wealth Management Compliance Associate Regional Compliance Officer

Morgan Stanley

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Details
Posted:
March 17, 2023
Location:
Purchase, New York
Type:
Full Time - Experienced
Preferred Education:
Doctorate

The Wealth Management Compliance Conduct Risk team responsibilities include identifying and assessing current emerging conduct risks; opining on control assessments and enhancements; conducting targeted employee reviews to identify and escalate conduct risk concerns; establishing actionable reporting to facilitate oversight; and exploring the use of data analytics to identify conduct risk trends and patterns.

 

Morgan Stanley is seeking a strong candidate for its Wealth Management Compliance Conduct Risk Team.  The candidate will support the Head of Compliance Conduct Risk as well as the Regional Compliance Officers and be expected to assist with the following:

-  The comprehensive analysis of conduct risk data
-  Conducting targeted employee conduct risk reviews
-  Identifying and reporting on emerging conduct risk trends and patterns
-  Control assessments and enhancements
-  Preparation of Regional and Complex level Compliance reports
-  The collaboration with key stakeholders in Legal, Compliance and Risk on various conduct risk initiatives.
-  Provide advice on firm policy and industry regulations

The role can be based in Purchase, NY or Baltimore, MD and will require in office attendance three days per week.

-  5+ years professional experience in financial services industry, preferably in compliance, legal or risk
-  Bachelor’s Degree required
-  Knowledge of business practices typically associated with a broker-dealer
-  Ability to analyze data and identify trends, patterns and root causes
-  Strong risk assessment skills
-  Strong project management and reporting skills
-  Strong written and verbal communication skills
-  Ability to work independently and as part of a team under tight deadlines
-  Experience with Tableau and data analytic tools
-  FINRA Series 7, 9/10 or 24 a plus.

Internal Number: 3233313
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. If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.
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