Disclosure of Interests Compliance Director

Morgan Stanley • Baltimore, MD

3d

About The Position

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. LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations. The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation. This role in Global Shared Services Compliance (GSSC) reports to the Global & Americas Head of Disclosure of Interest (DOI) Compliance and provides compliance advisory and oversight for the Americas DOI program, including US federal, statewide, Canadian, Brazilian, and Mexican requirements (together, DOI Coverage or DOI Compliance), partnering with EMEA and Asia teams to promote global consistency and transparency. Primary coverage: oversight of the Americas DOI program and support of the Americas DOI Compliance team, including advisory coverage for regulatory reporting operations for market-facing entities across institutional sales/trading, capital markets, retail broker-dealer, financial advisory, investment management, alternatives, and private equity. Reporting and operational processes are owned/executed by Operational Risk & Regulatory Controls (ORRC/ DOI Ops). Secondary coverage: support for holding company requirements, including permissible investments/activities under the Bank Holding Company Act (BHCA), with advisory support primarily to Finance and Risk across Divisions and Control Functions. Across coverage areas, provide compliance advisory support and oversight, helping ensure controls keep pace with regulatory and business/model changes; support Regulatory Relations on inquiries, exams, and rule commentary.

Requirements

• Undergraduate degree required
• Experience in Compliance, Legal, Regulatory, or relevant risk/control functions within financial services and/or experience in operations/trade support that supports regulatory reporting.
• Strong analytical skills and a controls mindset; ability to interpret requirements and translate them into practical processes and controls.
• Strong written and verbal communication skills; ability to engage cross-functionally and document decisions, rationale, and outcomes.
• Proficiency with common productivity tools (e.g., Excel and PowerPoint) and comfort working with data.
• Comfort leveraging automation, data analytics, and AI tools to improve processes (including effective prompt writing).
• Strong organizational skills with attention to detail; ability to manage multiple priorities and deliver on timelines.
• Ability to work effectively with global, cross-functional stakeholders across Compliance, Legal, Operations, Technology, Risk, and Business Units.

Nice To Haves

• Legal or regulatory training (e.g., paralegal experience, JD) or comparable experience interpreting and applying rules.
• Project management skills (planning, tracking, stakeholder updates)
• Professional credentials such as the CFA and/or relevant financial-services registrations are a plus

Responsibilities

• Monitor, track, and document regulatory change in line with the Enterprise Minimum Standard Procedure (ERMF) for in-scope regulations.
• Conduct annual updates to aosphere Shareholding Disclosure (DOI) memoranda, jurisdictional reviews, and Operations' rule traceability matrix.
• Partner with DOI Ops on large position concentrations, trade pre-clearance/monitoring, Exchange Act Sections 13/16 reporting, sensitive industry and issuer-specific limits, and other Americas requirements
• Provide oversight of DOI Ops programs to support compliance across in-scope entities, asset classes, new products, and related processes
• Review Operations policies/procedures, oversee required updates, and serve as escalation point for incidents impacting regulatory obligations.
• Develop SME capability to provide timely advice across primary and secondary coverage; support team leads.
• Advise Technology and Data on enhancements to systems/data needed to meet regulatory requirements; support projects using data analytics and an AI-first mindset.
• Conduct testing and monitoring (including leveraging the Compliance Testing Team); review Internal Audit/Testing findings, develop remediation plans, and track execution.
• Deliver training on new/existing rules and processes and provide monthly reporting on key regulatory activities and initiatives.
• Participate in industry working groups on regulatory initiatives affecting the Firm (e.g., Broker-Dealers, Investment Advisers, and Swap Dealers).

Benefits

• Morgan Stanley offers a full spectrum of benefits, including 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), and Short/Long Term Disability, in addition to other special perks reserved for our employees.
• Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

What This Job Offers

• Job Type: Full-time
• Career Level: Director