The Consumer Office within Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance across the enterprise on consumer engagement and protection matters. The person in this role will have the opportunity to partner broadly across the enterprise on various significant initiatives and contribute to a building out a central, enterprise-wide compliance program for consumer issues. The successful candidate will be responsible for, among other things:
Partnering with stakeholders across LCD and the businesses on matters related to consumer engagement
Developing Senior Management level reporting, which includes analysis of consumer-related risk issues at the divisional and global levels
Participating in strategic compliance initiatives as needed, including collaborating with other Compliance teams/programs as well as assisting with regulatory matters
Managing internal and external stakeholder updates and maintaining project management tools
Morgan Stanley is a leading global financial services firm that conducts its business through three principal business segments Institutional Securities, Asset Management, and Wealth Management (WM). The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 42 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career, a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
This role will require in office attendance 3 days/week. This role requires that all successful applicants be fully vaccinated against COVID 19 as a condition of employment and provide proof of such vaccinations within 3 days of commencement of employment.
Minimum 5-7 years relevant working experience in the financial services industry in Compliance or related fields or at a securities regulator
Detailed knowledge of applicable consumer protection laws, rules, and regulations
Strong understanding of financial markets, broker-dealers and banking products and services.
Highly motivated self-starter able to work independently while collaborating and coordinating across a complex organization
Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
Sound judgment and an ability to appropriately escalate issues internally
Exceptional written and verbal communications skills, attention to detail and effective time management
Outstanding interpersonal skills and team-player attitude with the ability to build effective partnerships
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If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.