Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 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.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.
PWM Compliance Officer is responsible for assisting Wealth Management’s Private Wealth Management business manage regulatory risks and protect the franchise by ensuring compliance with laws, regulations, rules and internal policies and procedures. PWM is the area within Morgan Stanley Smith Barney that caters to Ultra High Net Worth (UHNW) clients.
Advise the PWM Business Unit on all regulatory Compliance matters.
Work closely with PWM Management on new business proposals.
Develop policies and procedures to facilitate compliance with laws, regulations and rules.
Conduct training on Compliance policies and procedures
The PWM Compliance Officer will report into the IWM/PWM Compliance Coverage Team which is part of Field Compliance
Minimum 10 years relevant working experience in the financial services industry in Compliance or related fields or with a securities exchange or securities regulator.
Knowledge of products available to UHNW clients, such as hedging and derivative strategies and private equity investments.
Relevant Wealth Management or Private Banking experience
Excellent verbal and written English communication skills-Strong analytical skills, thoughtful.
Ability to work within a team and act independently
FINRA Series 7, 66, and principal licenses (9/10 or 24) preferred
Internal Number: 3137084
About Morgan Stanley
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