Wealth Management Regional Compliance Officer

  • Competitive
  • Baltimore, MD, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 14 Nov 18

Wealth Management Regional Compliance Officer

Company Profile
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.

Department Profile
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 business.

Background on the Team
The Field Compliance group focuses on compliance-related functions that support the field. It is comprised of the Regional Compliance team, Field Compliance Review Team, Heightened Supervision, Employee Investing and Activities and Registration.

Primary Responsibilities
The successful candidate will be responsible for the following:
-Providing Compliance advisory support to Firm-wide personnel on Firm and regulatory policies and procedures
-Identifying trending policies and issues within the coverage area
-Partnering with Legal and Risk Senior Management to provide guidance and support to the branches and home office personnel on regulatory initiatives
-Participating in the development or enhancement of Firm policies and procedures
-Serve as an escalation point for analyzing and approving requests for exceptions to Firm policies and procedures
-Reviewing product vendor sponsored "cash/non-cash" events (e.g. seminars, education and training meetings)
-Reviewing and presenting branch profile reports that detail various key Legal and Compliance information
-Preparing and conducting training for Firm-wide personnel on Firm and regulatory policies and procedures
-Ad hoc projects


Skills required (essential)
-Experience in Compliance, Legal or Risk in the securities industry
-Analytical, detail oriented, organized, pro-active and self-sufficient
-Able to work in a fast moving, busy environment, yet maintain strong attention to detail
-Excellent written, verbal and presentation skills
-Able to demonstrate leadership, accountability and good judgment