VP, International WM Compliance Officer
About The Position
The International Wealth Management Compliance Officer is a Vice President-level role in Morgan Stanley’s International Wealth Management Compliance team within the Legal & Compliance division. The role provides expert jurisdictional guidance across key non-U.S. markets, strengthens governance and control standards for cross-border activities, and represents Compliance in strategic business initiatives and regulatory engagements. The team provides compliance advice and oversight for international and cross-border Wealth Management activities and shapes the compliance framework supporting the Firm’s international growth strategy. The position focuses particularly on European and Latin American jurisdictions. It involves interpreting jurisdictional requirements and turning them into practical policies, supervisory controls, escalation protocols, and implementation plans; advising senior stakeholders; participating in governance forums; and overseeing complex cross-border matters, reviews, training, inquiries, and remediation. The role builds partnerships across U.S. and non-U.S. Legal, Compliance, Risk, Financial Crimes, Supervision, and business teams.
Requirements
- Demonstrated expertise in U.S. and non-U.S. financial services regulation, including European and Latin American securities, licensing, and cross-border requirements.
- Experience developing and implementing compliance policies, procedures, control frameworks, and governance standards in response to business growth or regulatory change.
- Ability to interpret complex and evolving regulatory requirements, make independent judgments, and provide practical, risk-based advice to senior management.
- Experience leading complex cross-border initiatives, risk assessments, regulatory matters, or remediation efforts across multiple functions and jurisdictions.
- Executive presence and credibility to influence senior stakeholders, provide effective challenge, and represent Compliance in management and governance forums.
- Excellent written and verbal English communication skills, including the ability to explain complex jurisdictional requirements as clear business expectations and senior-level recommendations.
- Typically, 9–10+ years of relevant experience would generally be expected to develop the skills required for this role.
Nice To Haves
- FINRA Series 7 and 24 or Series 9/10.
Responsibilities
- Provide jurisdictional guidance on securities laws, regulatory expectations, licensing requirements, and permissible activities across non-U.S. markets, particularly Europe and Latin America.
- Develop policies, procedures, standards, and control frameworks for cross-border activities conducted by Financial Advisors through the U.S. broker-dealer.
- Assess evolving jurisdictional requirements and translate them into business requirements, supervisory controls, escalation protocols, and implementation plans.
- Lead Compliance participation in senior governance forums, including New Product, Risk, and Financial Crime Committees, and provide challenge, recommendations, and decisions on matters affecting International Wealth Management.
- Direct risk assessments, thematic reviews, testing, and targeted training to evaluate the International Wealth Management compliance framework.
- Oversee complex cross-border matters, regulatory inquiries, and significant issues, coordinating escalation, remediation, and sustainable closure with stakeholders.
- Build partnerships across U.S. and non-U.S. Legal, Compliance, Risk, Financial Crimes, Supervision, and business teams to promote consistent standards and execution across jurisdictions.
Benefits
- Morgan Stanley-sponsored benefit programs and employee benefits and perks; specific benefits are not detailed.
- Compensation may include commission earnings, incentive compensation, discretionary bonuses, and other short- and long-term incentive packages, depending on the position.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
