Compliance Officer, Wealth Management

Each member of the Wealth Management Team is assigned primary responsibility of a core activity/activities depending on their skillset and experience and works with closely with Compliance Management on related deliverables. As a new member of the team you may be assigned a number of these activities or asked to assist other team members with completing tasks related to their primary area of responsibility. The core activities conducted by the Wealth Management Compliance team are set out below. Advisory - Providing ongoing advice and respond to queries received from the business e.g. answer inbound telephone queries and emails. Governance - Assist in the preparation of management reporting and represent WM Compliance in various governance forums. Surveillance - Complete monitoring and surveillance tasks. Regulatory matters - Prepare response to regulatory notices and assist with related investigations. Breaches - Investigate potential breaches to determine if there has been a regulatory or internal policy breach and document the findings using Firm approved templates. Conduct and Disciplinary matters - Assist with the preparation of documentation used in the Firm's employee discipline process when required. Training & Education - Assist with the preparation and delivery of Compliance training. This may include quarterly interstate travel. Regulatory change - Review new legislation / rules changes and work with Snr members of LCD to determine the impact of these changes upon the Wealth Management business. Client complaints - Assist with the investigation of client complaints and the preparation of written responses as required. Marketing review - Assist with the review and approval of marketing collateral including newspaper articles, presentations, advertisements, brochures and new product materials. Project work and business initiatives - provide support with ad-hoc projects and initiatives as required from time to time. Comply with the ethical standards contained within the firm's Code of Conduct Adhere to the firm's policies and procedures, regulatory and legislative requirements Engage with stakeholders in the business to engender a culture of Compliance Lead by example and conduct yourself in accordance with the firm's core values Solid understanding of the Australian retail financial services laws including Chapter 7 of the Corporations Act Excellent working knowledge of the ASIC Market Integrity Rules and ASX Rule books A sound command of the Microsoft Office Suite of Products including Excel and Power Point Keen attention to detail Proactive and self-motivated Ability to work in a fast-paced environment where there is constant change Capacity to work effectively both as a part of a team and autonomously Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.