We're seeking someone to join our team as a Wealth Management Compliance Officer in Non-Financial Risk to analyze and determine the relevance of new and updated laws and regulations to the Wealth Management business, develop and draft compliance policies and procedures, respond to document production requests, assist in the publication of a monthly policy bulletin, and handle special projects.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Director level position within the Wealth Management Compliance Policies and Procedures Group, which is responsible for updating and maintaining Compliance policies and procedures, tracking and analyzing regulatory developments.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
> Analyzing new and updated federal and state laws, regulations, guidance and enforcement actions and determining relevance to the Firm's Wealth Management business
> Developing and drafting of Compliance policies and procedures through collaboration with the business, Risk, Legal, Compliance, and other stakeholders
> Responding to document production and related requests from Litigation and Regulatory Relations
> Assisting in the development and publication of the monthly Wealth Management Non-Financial Risk Policy Bulletin that informs affected stakeholders of new and updated Compliance policies and procedures.
> Special projects identified by the Manager of the Policies and Procedures Group.
What you'll bring to the role:?
> Familiarity with, and ability to analyze and assess relevant regulatory developments impacting wealth management, including FINRA, SEC, NYSE, and NYSE MKT rules and regulations, and applicable states laws and regulations
> Ability to analyze and assess new rules and regulations
> Strong verbal and written communications skills
> Ability to bring a group with varied interests to consensus
> Strong organizational skills
> Ability to work independently with minimal supervision
> Critical thinking and analysis
> JD and/or 5+ years financial industry experience preferred
> Project management experience preferred
> Proficient with Microsoft Office products
At least 6 years' relevant experience would generally be expected to find the skills required for this role
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.
Salary range for the position: $70,000 and $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.
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).