Ed, Regional Compliance Officer (northeast)

Morgan Stanley

Northeast, US
Base: $165,000 to $275,000 py; bonus/equity: commi...
Not specified
10+ years senior compliance experience
Sec and finra regulation knowledge
Wealth management business experience
Morgan Stanley is seeking a Regional Compliance Officer for its Wealth Management division in the Northeast, responsible for providing compliance guidance, identifying unusual conduct, and improving supervisory practices. The ideal candidate should have extensive experience in compliance, a strong understanding of SEC and FINRA regulations, and leadership capabilities

Job Summary

  • This Executive Director level position focuses on providing advisory guidance to the Wealth Management Field while identifying unusual conduct and potential violations.
  • The role requires collaborating with Regional Management on high-risk matters such as sales practices, outside business activities, and recruiting issues.
  • Morgan Stanley offers a comprehensive compensation package including base pay between $165,000 and $275,000 plus various incentive packages and benefits.

Matching Summary

Match Score: 85

Morgan Stanley is seeking a Regional Compliance Officer for its Wealth Management division in the Northeast, responsible for providing compliance guidance, identifying unusual conduct, and improving supervisory practices. The ideal candidate should have extensive experience in compliance, a strong understanding of SEC and FINRA regulations, and leadership capabilities.

Salary

Base: $165,000 to $275,000 per year; Bonus/Equity: Commission earnings, incentive compensation, discretionary bonuses included; Benefits: Comprehensive employee benefits and perks

Skills & Requirements

Must-have

  • 10+ years senior compliance experience
  • SEC and FINRA regulation knowledge
  • Wealth Management business experience
  • Sales practice and suitability expertise
  • Data analysis for risk identification

Nice-to-have

  • Proactive leadership capabilities
  • Strong verbal and written communication
  • Ability to challenge business risks
  • Experience with diverse financial products
  • Discretion in handling sensitive matters

Key Requirements

  • Bachelor's Degree required
  • Minimum 10+ years work experience
  • FINRA Series 7, 9/10, 24, or 65/66 preferred

Work Rights

Not specified

Tailored Resume

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