Wealth Management Compliance Regulatory Initiatives Officer Wealth Management Compliance Regulatory  …

Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Wealth Management Compliance Regulatory Initiatives Officer
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.
The talent and passion of our people is critical to our continued success as a firm. Together, we share five core values rooted in integrity, excellence and strong team ethic:

1. Putting Clients First
2. Doing the Right Thing
3. Leading with Exceptional Ideas
4. Giving Back
5. Committing to Diversity and Inclusion
Morgan Stanley is committed to helping its employees build meaningful careers and we strive to be a place for people to learn, achieve and grow.
Legal and Compliance
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.
Department Profile
The Regulatory Initiatives Group manages and supports WM Compliance Department-wide regulatory and Compliance processes, including:
  • Risk assessments (Compliance Risk Assessment, Risk and Control Self-Assessment) and other risk identification activities
  • Annual WM Compliance Plan
  • Supervisory Control and CEO Certification processes and annual compliance reports
  • Lessons Learned reviews
This position is n the Regulatory Initiatives Group within the Wealth Management Compliance Counsel Group. Core areas of responsibility include:
  • Coordination and preparation of group's metrics and other reporting
  • Coordination and execution of department-wide Compliance processes, including risk assessments, annual compliance reports, and annual compliance plans
  • Participation in special projects as needed .


  • Strong organizational skills
  • Strong verbal and written communications skills
  • Ability to collaborate with key partners across the Firm
  • Ability to work independently with minimal supervision
  • Critical thinking and analysis
  • Project management experience
  • Microsoft Excel and PowerPoint skills
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