Job title: HYBRID- Shared Services Compliance Registration Professional
Company: Morgan Stanley
Job description: 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 andpassion 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.
The Registration team is part of Shared Services Compliance and services Morgan Stanley Wealth Management (MSWM), Institutional Securities Group (ISG), Morgan Stanley Investment Management (MSIM), Eaton Vance Distributors (EVD), and E*TRADE Securities (ETS) and is responsible for obtaining and maintaining the securities licenses for the Firm, its employees and branch offices.
Primary Job Responsibilities
The position will be responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant. The individual will also be responsible for helping to maintain registration records and procedures; assist with the review and interpretation of disclosure records for current and prospective employees; and ensure licensing requirements for all registered employees have been satisfied.
Role will require in office attendance 3 days/week.
– Education level: Bachelor’s Degree or higher
– Legal and/or Compliance experience preferred
– Must be highly organized, detailed oriented, and comfortable working both independently and within a team
– Must be self-motivated, driven, proactive, and possess strong communication and analytical skills
– Must be able to manage multiple tasks and prioritize workflow with minimal supervision
– Familiar with Microsoft platform tools (Excel, PowerPoint, etc.)
Location: Baltimore, MD
Job date: Wed, 22 Jun 2022 00:30:53 GMT
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