Morgan Stanley Overview
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. With offices in 42 countries, employees serve clients worldwide including corporations, governments, institutions and individuals.
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.
Legal and Compliance Division Overview
Professionals within the Legal and Compliance Division provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on regulatory issues; 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 are designed to 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.
MSIM Overview and Background on the Position
Morgan Stanley Investment Management (MSIM) is a leading asset manager across public and private markets, focused on high conviction active management. MSIM, together with its investment advisory affiliates, has more than 1,300 investment professionals around the world and $1.6 trillion in assets under management or supervision as of March 31, 2025.
The employee will have experience with and a thorough understanding of the financial securities industry, including distribution advisory and broker-dealer compliance.
The employee will:
> Provide subject matter guidance and experience related to compliance with relevant internal policies and procedures, as well as external rules and regulations, with specific experience in broker-dealer and sales practice compliance.
> Assist in the development of cross-functional compliance policies and procedures supporting regulatory compliance in various geographic regions.
> Identify opportunities and use leadership skills to drive strategic initiatives related to integrated firm and cross-divisional alignment across the Morgan Stanley business to enhance efficiency, leverage existing resources and harmonize common processes and practices.
> Coordinating with internal partners to identify and manage potential risks.
> Assess current and prospective regulatory risk through industry interaction and research.
> Review and propose enhancements to the policies and procedures in response to emerging industry trends and regulatory environment.
> Develop educational materials and trainings based on industry and regulatory developments, as well as lessons learned.
> Lead development of response to regulatory examinations and internal audits.
> Address non-compliance issues and propose practical/realistic solutions to overcome issues on a timely basis.
> Establish and maintain excellent working relationships with the Firm's global Legal and Compliance LCD team.
> Be capable of assuming Chief Compliance Officer duties. Qualifications:
> 10+ years of prior experience in a legal, compliance or regulatory role.
> Series 14 or Series 7 and 24 registered; or will become qualified for such licenses within the first year.
> Ability to exercise prudent judgment as it applies to resolving complex issues.
> Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment with minimal oversight.
> Outstanding listening, interpersonal, communicative and persuasion skills.
> Excellent analytical ability while consistently demonstrating strong attention to detail.
> Excellent listening, interpersonal, communicative and persuasion skills.
> Ability to work collaboratively with senior levels of management within the business, legal, risk, compliance, technology, and third-party vendors, as well as partners across Morgan Stanley.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Expected base pay rates for the role will be between $120,000 and $205,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).