Morgan Stanley is a leading global financial services firm that conducts its business through three principal business segments - Institutional Securities, Asset Management, and Wealth Management (WM). The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 42 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.
This role will require in office attendance ~3 days/week.
Primary Responsibilities:
The Consumer Office within Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for managing the strategy and framework of the Consumer Office. They will be responsible for providing advice and guidance across the firm on consumer engagement, consumer risk, and consumer protection matters. 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:
- Managing the Consumer Office strategy and framework
- Partnering with stakeholders across LCD and the businesses on matters related to consumer engagement
- Developing Senior Management level reporting, which includes analysis of consumer-related matters at the divisional and global levels
- Participating in strategic compliance initiatives as needed, including collaborating with other Compliance teams/programs as well as assisting with regulatory matters
- Maintain, enhance and drive implementation of applicable policies, procedures, methodology and standards
- Managing internal and external stakeholder updates and maintaining project management tools
- 10-15 years relevant working experience in the financial services industry in Compliance or related fields or at a securities regulator
- Detailed knowledge of applicable consumer protection laws, rules, and regulations
- Strong understanding of financial markets, broker-dealers and banking products and services
- 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
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).
Expected base pay rates for the role will be between $160,000 and $250,000 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.