Morgan Stanley-posted 2 months ago
$70,000 - $125,000/Yr
Full-time • Director
Baltimore, MD
Securities, Commodity Contracts, and Other Financial Investments and Related Activities

We're seeking someone to join our team as a Wealth Management Compliance Officer in Non-Financial Risk to analyze and determine the relevance of new and updated laws and regulations to the Wealth Management business, develop and draft compliance policies and procedures, respond to document production requests, assist in the publication of a monthly policy bulletin, and handle special projects. 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. This is a Director level position within the Wealth Management Compliance Policies and Procedures Group, which is responsible for updating and maintaining Compliance policies and procedures, tracking and analyzing regulatory developments.

  • Analyzing new and updated federal and state laws, regulations, guidance and enforcement actions and determining relevance to the Firm's Wealth Management business
  • Developing and drafting of Compliance policies and procedures through collaboration with the business, Risk, Legal, Compliance, and other stakeholders
  • Responding to document production and related requests from Litigation and Regulatory Relations
  • Assisting in the development and publication of the monthly Wealth Management Non-Financial Risk Policy Bulletin that informs affected stakeholders of new and updated Compliance policies and procedures
  • Special projects identified by the Manager of the Policies and Procedures Group
  • Familiarity with, and ability to analyze and assess relevant regulatory developments impacting wealth management, including FINRA, SEC, NYSE, and NYSE MKT rules and regulations, and applicable states laws and regulations
  • Ability to analyze and assess new rules and regulations
  • Strong verbal and written communications skills
  • Ability to bring a group with varied interests to consensus
  • Strong organizational skills
  • Ability to work independently with minimal supervision
  • Critical thinking and analysis
  • JD and/or 5+ years financial industry experience preferred
  • Project management experience preferred
  • Proficient with Microsoft Office products
  • At least 6 years' relevant experience would generally be expected to find the skills required for this role
  • 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 X Vacation Days annually)
  • 10 Paid Holidays
  • 401(k)
  • Short/Long Term Disability
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