WM Field Compliance Advisory Coverage Specialist

Morgan Stanley • Dallas, TX

1d

About The Position

We're seeking someone to join our team as Field Compliance Advisory Coverage in Wealth Management (WM) Field Compliance to provide advisory coverage across key Business Units including Service Review Unit (SRU), Virtual Engagement Associates (VEA), Central Review Unit (CRU), GFC/AML, Field AI Governance and Framework, and Voice of the Field (VOTF) Compliance Coverage as well as to oversee the production of existing Tableau Dashboards and metrics for reporting to stakeholders. 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 WM Field Compliance team name which focuses on providing advisory guidance to the Wealth Management Field. WM Field Compliance is comprised of Regional Compliance Officers and Field Compliance Advisory Compliance, Compliance Conduct Risk, Private Wealth Management, International Wealth Management, and WM PBG Compliance. 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

• Minimum 6+ years relevant experience
• A strong understanding of SEC and FINRA regulations, with a particular focus on sales practice and suitability concerns involving retail products in brokerage and advisory accounts
• Knowledge of various products, including, Futures, Annuities, Structured Investments, Alternative Investments, Exchange-Traded Products, Fixed Income, Equities, Options, Unit Investment Trusts, and Mutual Funds
• Understanding of conflicts of interest and business practices typically associated with a broker-dealer (e.g. gifts, non-cash compensation, outside business activities, trading, etc.)
• Ability to challenge the Business where there is a potential for regulatory or reputational risk
• The ideal candidate will be proactive, have strong verbal and written communications skills, and the ability to prioritize and handle multiple tasks in a fast-paced environment
• Ability to analyze data and identify and escalate key trends, patterns, and root causes
• Ability to work within a team and act independently
• Excellent judgment and the ability to be discreet in all matters
• Bachelor's Degree required
• Working Knowledge of Tableau Analytics Software and Dashboard Maintenance and Creation

Nice To Haves

• Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66

Responsibilities

• Provide subject matter coverage and advisory oversight across key Business Units including Service Review Unit (SRU), Virtual Engagement Associates (VEA), and Central Review Unit (CRU).
• Establish a structured communication framework for significant policy changes to drive consistent interpretation and execution across the Field.
• Oversee the production, interpretation, and evolution of existing dashboards and reporting, ensuring outputs are decision-useful, risk-aligned, and appropriately contextualized for stakeholders (both internal and regulators).
• Assist in shaping WM Field AI Governance and Framework as it applies to covered Compliance areas, focusing on risk ownership and mitigation, supervisory expectations, and practical guardrails.
• Support coordination and risk advisory input for Field-Facing Integrated Firm initiatives and events, including client/prospect clearance processes and Regional/Market supervisory engagement.
• Provide advisory leadership on Trade Error Management enhancements, translating reporting outputs into clear supervisory guidance for the Field.
• Execution of Voice of the Field (VOTF) Initiatives, including guidance on Field Compliance responses and coordination with WM Compliance colleagues on responses to the Field.
• Act as liaison for Client Segment Risk Conduct, Controls, and Governance Working Groups (including but not limited to Rule 3210/2070, Branch Examination Prep, and Data Governance).
• Maintain and enhance existing dashboards with the goal of improving usability and actionability for RCOs and Field Service Compliance.
• Serve as Field Compliance's point of coordination for quarterly FINRA/SEC reporting, focusing on narrative integrity, trend interpretation, and risk signaling.
• Partner with the Compliance Conduct Risk team to align and rationalize reporting, reducing duplication and improving enterprise consistency.
• Act as liaison with ORD on cross group themes, observations, and emerging issues.

Benefits

• Ample opportunity to move about the business for those who show passion and grit in their work.
• Attractive and comprehensive employee benefits and perks in the industry.

What This Job Offers

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