Wealth Management Compliance Employee Trading Professional
Profile _** 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. _Department Profile _ 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 firms 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 firms businesses. Background on the team Employee Investing and Activities Compliance is a Global function that crafts policies, and provides guidance, to employees of the Firm regarding employee trading restrictions, black-out windows for trading Firm securities, and engagement in certain activities conducted away from the Firm. The Wealth Management Employee Investing and Activities Compliance Team (WM EIAC) provides coverage for the Retail Branch Offices and the Home Office business units within the Broker-Dealer Division. WM EIAC reviews requests from employees and advises employees, and their supervisors, regarding potential conflicts of interest related to outside securities accounts, outside business activities, private securities transactions (collectively Outside Business Interests, and fiduciary and beneficiary exception requests. WM EIAC plays an important role within the firm and will engage our Global counterparts as well as key stakeholders within the Business, Risk, Compliance, and Legal teams. _Primary Responsibilities **** _ Serve as a Compliance Professional for assigned field and home office employees within the Wealth Management Division. Responsible for executing regulatory and compliance-based reviews of Outside Business Interests (OBIs) disclosures which include: outside brokerage accounts, outside business activities, and private securities transactions. Assist Business, Risk, and Legal partners in the review of Fiduciary and Beneficiary Exception Requests. Provide policy and regulatory guidance to employees in relation to employee trading, and potential conflicts of interest associated with OBIs. Respond to inquiries and requests for information from internal Legal teams or Regulators. - Excellent relationship management, organizational, written and oral communication skills. - Three to five years of experience in a compliance role, preferably in a Wealth Management Brokerage capacity - Bachelors degree and related industry experience. - Knowledge and understanding of industry rules and regulations including knowledge of the Brokerage Industry. - Detail oriented with superior attention to detail. - Ability to effectively multi-task and manage deadlines. - Advanced proficiency in MS office applications and internet use. Technical skills related to compiling metrics a plus. **Primary Location: **Americas-United States of America-Maryland-Baltimore **Work Locations: ** **Job: **Compliance **Organization: **Morgan Stanley **Job Posting: **Jun 28, 2018