Morgan Stanley is a leading global financial services firm and conducts its business through three principal business segments-Institutional Securities, Asset Management, and Wealth Management. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 42 countries.
The Wealth Management business provides comprehensive financial advice and services to its clients including brokerage, investment advisory, banking and lending, insurance, retirement and other products. The business includes Morgan Stanley Smith Barney LLC (the "Broker-Dealer") and Morgan Stanley Private Bank, National Association (the "Bank"). The Broker-Dealer has approximately 16,000 Financial Advisors with total client assets of over $2 trillion. The Bank provides deposit and lending products to serve the needs of our clients, and employs more than 150 Private Bankers to assist Financial Advisors in assessing those needs.
The Broker-Dealer is seeking a Compliance Officer to review and approve marketing, training materials and other communications related to deposit products (e.g., savings deposits and CDs) and cash management services (e.g., online transfers, debit and credit cards, etc.) offered through Morgan Stanley Wealth Management. Duties will also include providing advice and guidance on some cash management initiatives. The ideal candidate will have a thorough knowledge of the applicable rules and regulations governing communications with the public, including FINRA 2210, as well as familiarity with applicable banking regulations. A willingness to learn branch operations and supervisory processes for money movement flows is a must. The candidate will be expected to update policies a nd procedures, as well as develop metrics for senior leadership related to marketing and cash management services.
The candidate will work closely with subject matter experts within the Compliance Department and other support functions including Bank Compliance, Legal and Risk.
Experience supporting marketing or sales-related projects / strategies. Excellent oral and written communication skills. Ability to operate effectively and independently in a fast-paced environment. Ability to develop and maintain strong, relationships across business lines and support functions. Ability to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations. Experience with digital banking and cash management services a plus. Relevant work experience in the banking or financial services industry in Compliance, Anti-Money Laundering or related fields Series 7 and other licenses permissible, but not required
Internal Number: 5207600
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