- Partnering with stakeholders across LCD and the businesses on various matters related to self-direct accounts, including in relation to account opening and maintenance, supervision, call/service center support, and delivery of products and services
- Participating in strategic compliance initiatives, including collaborating with other Compliance teams/programs as well as assisting with regulatory matters
- Maintaining, enhancing and drive implementation of applicable policies, procedures, training, methodology and standards
- Minimum 8-10 years of relevant working experience within Compliance (or a related area) providing advice and guidance in connection with self-directed brokerage accounts.
- Extensive experience in advising on matters related to self-directed brokerage accounts, including, but not limited to, account opening and maintenance, supervision, call/service center support, products and services (e.g., equities, options, margin)
- Detailed knowledge of applicable federal and state securities laws, rules, and regulations impacting broker-dealers
- Highly motivated self-starter able to work independently while collaborating and coordinating across a complex organization
- Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
- Sound judgment and an ability to appropriately escalate issues internally
- Exceptional written and verbal communications skills, attention to detail and effective time management
- Outstanding interpersonal skills and team-player attitude with the ability to build effective partnerships
- Ability to multitask and manage team members on projects within a small-group environment
- Role will require in office attendance 3 days/week.
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Wealth Management Digital Direct Compliance Officer - Purchase, United States - Morgan Stanley
Description
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.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.
The WM Consumer Compliance Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments within Wealth Management responsible for opening, maintaining, and servicing of self-directed brokerage accounts.
The person in this role will have the opportunity to partner broadly across the enterprise on various critical initiatives and contribute to a strong compliance framework.
The successful candidate will be responsible for, among other things:
For New York, expected base pay rates for the role will be between $110,000 and $190,000 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.
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.
