Compliance Registration Associate

Morgan Stanley•Baltimore, MD

1d•Onsite

About The Position

Morgan Stanley is a leading global financial services firm providing investment banking, securities, investment management, and wealth management services. With offices in more than 43 countries, the Firm's employees serve corporations, governments, and individuals worldwide. The Firm's success is driven by its people and a culture grounded in integrity, excellence, and teamwork. Morgan Stanley offers a strong foundation for professional growth while promoting an inclusive and balanced work environment. Professionals within Legal and Compliance provide critical support across Morgan Stanley's business units by advising on regulatory obligations, business initiatives, and risk management practices. The Shared Services Compliance Registration team services Morgan Stanley Wealth Management (MSWM), Institutional Securities Group (ISG), and Morgan Stanley Investment Management (MSIM). The role will reside within the Non- Financial Risk Framework Department. Non- Financial Risk is the risk of economic, reputational, regulatory, financial reporting, and client impact from failed or inadequate processes, data, or controls; from system changes, failures, disruption or other infrastructure and environmental factors; or from intentional or inadvertent actions of employees, contingents, or external parties. The Registration team is responsible for advising the Firm on the requirements and obligations associated with being registered in the securities industry. This includes facilitating the registration of individuals, branches, and entities, as well as conducting disclosure reviews and ensuring compliance with regulatory requirements across jurisdictions.

Requirements

Bachelor's Degree required
Strong organizational skills and attention to detail
Ability to manage multiple tasks and prioritize effectively in a deadline-driven environment
Strong written and verbal communication skills
Demonstrated ability to work independently while collaborating effectively within a team
Comfortable navigating structured processes while identifying opportunities for improvement
Proficiency with Microsoft Office tools (Outlook, Excel, PowerPoint, Copilot)

Responsibilities

Support the execution of securities registration and licensing processes to ensure compliance for the Firm and its registered employees
Assist with maintaining accurate registration records, documentation, and tracking tools
Support the review of disclosure information for current and prospective employees, escalating questions or issues as appropriate
Respond to regulatory, registration, and internal requests in accordance with established procedures
Assist in monitoring licensing requirements to help ensure timely completion and resolution of outstanding items
Provide cross-team support during peak periods, special projects, regulatory initiatives, and system or process enhancements
Partner with colleagues across Registration, Compliance, and operations teams to support consistent execution and information sharing
Escalate risks, process issues, or data concerns promptly to senior team members

Benefits

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 20 Vacation Days annually)
10 Paid Holidays
401(k)
Short/Long Term Disability