Ed, Regional Compliance Officer (northeast)

Morgan Stanley UK

Base: $165,000 to $275,000 py; bonus/equity: commi...
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10+ years senior compliance experience
Sec and finra regulations knowledge
Wealth management business experience
** Morgan Stanley UK is seeking a Regional Compliance Officer to provide advisory guidance to the Wealth Management Northeast Regional team. The role requires extensive compliance experience, particularly with SEC and FINRA regulations, and offers a competitive compensation package along with a commitment to diversity and inclusion within the workplace. **

Job Summary

  • This Executive Director level position focuses on providing advisory guidance to the Wealth Management Field while identifying potential violations of law and internal policies.
  • The role requires collaborating with Regional Management on high-risk matters such as sales practice issues, conduct matters, and outside business activities.
  • Morgan Stanley offers a comprehensive benefits package and opportunities for career advancement within a global organization operating in over 40 countries.

Matching Summary

Match Score: 75

** Morgan Stanley UK is seeking a Regional Compliance Officer to provide advisory guidance to the Wealth Management Northeast Regional team. The role requires extensive compliance experience, particularly with SEC and FINRA regulations, and offers a competitive compensation package along with a commitment to diversity and inclusion within the workplace. **

Salary

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

Skills & Requirements

Must-have

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

Nice-to-have

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

Key Requirements

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

Work Rights

Not specified

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