Compliance Officer Jobs

About The Position

Requirements

• Minimum 10+ years work experience in a Senior Compliance or Risk role
• 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
• Extensive knowledge of various products, including, Futures, Annuities, Structured Investments, Alternative Investments, Exchange-Traded Products, Fixed Income, Equities, Options, Unit Investment Trusts, and Mutual Funds
• A thorough 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
• Evidence strong leadership capabilities or previous supervisory experience
• Ability to work within a team and act independently
• Relevant Wealth Management Business experience
• Proven ability to interact with Financial Advisors and Branch staff in a professional and productive manner
• Excellent judgment and the ability to be discreet in all matters
• Bachelor's Degree required

Nice To Haves

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

Responsibilities

• Provide Compliance guidance and advice to Regional Management and Market management on Firm and regulatory policies and procedures
• Participate in senior Compliance management meetings as well as meetings and coordination with senior business leaders in Wealth Management
• Collaborate with Regional Management on high-risk matters identified within the Region (e.g., sales practice issues, conduct matters, outside business activities, and recruits)
• Engage with senior stakeholders in Field Management on various issues, including conduct-related matters, policy enhancements, and supervisory functions
• Lead key projects and initiatives within Field Compliance, focusing on identifying areas for policy and/or supervisory improvement and recommending proposed improvements
• Serve as the escalation point for Wealth Management Compliance teams on high-risk activities within the Region
• Assist the Region and Market teams as well as other areas of the Legal and Compliance Division in coordination and escalation of matters to appropriate stakeholders
• Assist with the development or enhancement of Firm policies and procedures, processes, reports, etc., to identify risks or potential supervisory gaps
• Conduct targeted employee training and Field training virtually or in-person on key Compliance issues
• Present to Regional and Market management on a regular basis related to key regulatory or policy updates
• Provide trends and analysis, including reports, on metrics for Regional Management and Market Management teams on a regular basis to assist in the aiding of potential action plans

Benefits

• Opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered
• Teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences
• Proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry
• Ample opportunity to move about the business for those who show passion and grit in their work
• Total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs