Employee Investing and Activities Compliance, Director

Morgan Stanley•Dallas, TX

About The Position

Employee Investing and Activities Compliance (EIAC) Professional. We're seeking someone to join our team as a Professional in Legal and Compliance to work for the Employee Investing and Activities Compliance (EIAC) team. EIAC managers serve as the primary point of contact for all business units in all regions, providing guidance on employee trading policies, reviewing, and processing outside business interests (outside securities account, private investments, and outside business activities) and maintaining ongoing communication with employees and Designated Managers regarding compliance requirements. The EIAC managers also support regulatory, Compliance Testing, and Internal Audit inquiries by gathering employee information and partnering with the various risk teams and the EIAC Mumbai team to review potential employee trading violations. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

Requirements

Strong interpersonal and collaboration skills.
Excellent written and verbal communication skills.
Ability to work effectively in a team environment.
Strong organizational and planning skills.
Proficiency with standard business technology and systems.
Superior time management and prioritization skills.
Client-service mindset.
High attention to detail.
Knowledge of industry regulations and previous compliance experience, preferably within Wealth Management.

Responsibilities

Serve as the Compliance Manager for assigned WM Field and Home Office employees.
Review and process outside business activity and private investment disclosures in accordance with Firm policies.
Provide guidance on Employee Trading, Outside Business Activity, and Private Investment policies applicable to employees subject to Wealth Management, Global, or supplemental department policies.
Maintain designated manager assignments and assist with system access requests.
Follow up with employees and designated managers on pending requirements.
Assist with gathering employee information requested by regulators, Internal Audit, or Branch Exams.
Assist risk teams and the EIAC Mumbai team with potential employee trading violation reviews.
Serve as a resource to the WM EIAC Mumbai team on outside personal securities account disclosure matters.
Collaborate with other departments and teams on policy-related matters, escalations, and issue resolution.