Wealth Management Field Advisory Compliance Officer

Morgan Stanley
Baltimore, MD
Sep 25, 2022
Sep 29, 2022
Full Time
A$ A' "A' ?Description - ExternalMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms 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.Morgan Stanley Wealth Management Compliance is responsible for providing advisory support and oversight to the client service organization within the Broker-Dealer Division. This includes providing support for the development of systems and tools utilized for client onboarding, account maintenance, and general client service requests.The team is looking to add a Compliance professional to support various strategic initiatives. As part of that process individuals can expect to:Collaborate with various business, Legal and Compliance partners to provide advisory support related to the build-out of new systems or enhancements to existing platforms and toolsComplete proactive end-to-end reviews of various systems and process workflows and socialize recommendations with appropriate business partners and management.Research, review and interpret applicable laws, regulations, and guidance in order to recommend updates to existing policies and procedures or assist the creation of new policies and procedures.Establish and maintain ongoing relationships with key stakeholdersLead (or assist in leading) key projects and strategic initiativesContribute to the annual reporting and ratings processPerform additional duties as requiredQualifications - ExternalDemonstrated financial services knowledge and understanding of key regulationsExcellent communication skills, both verbal and written; must be able to effectively communicate and establish strong working relationships with colleagues and stakeholders of all levels of seniority and backgroundStrong analytical skills, attention to detail and sound judgementAbility to effectively prioritize work, follow-up when needed and manage deadlines in a fast-paced environmentProficient in Microsoft Office suite of products including Outlook, Word, Excel, and PowerPoint including the ability to visually present information in a concise and clear mannerExperience with data visualization software (Tableau, Dataiku, etc.) desired, but not requiredAbility to work both independently, as well as in a team-oriented, collaborative environmentFINRA licenses a plus, but not requiredRole will require in office attendance 3 days/week.This role requires that all successful applicants be fully vaccinated against COVID-19 as a condition of employment and provide proof of such vaccinations within 3 days of commencement of employment.