708 jobs for "Compliance officer"

POSITION SUMMARY:

The Branch Administrator (BA) is responsible for providing overall administrative support for the Branch, including assisting the Branch Manager in connection with matters affecting the Branch facilities, Financial Advisors, and Support Staff. The BA may be responsible for multiple branch locations at the direction of the Market Management team. As a BA, you must act as a culture carrier as it relates to the core values of the firm. This role enables you to learn about all aspects of the business at a high level, and the wide range of responsibilities presents opportunities to grow skill sets and progress your career within the business.

DUTIES and RESPONSIBILITIES:

Expense Management Support

• Manage Travel & Entertainment (T&E) and Events and Conferences (EnC) expense requests to ensure compliance with Firm policy utilizing online business systems

• Coordinate events and meetings for the Branch, including all pre-approvals, event logistics/planning and accounting for meetings including employee, management, Councils, National Sales partners, external wholesalers, and others as directed

• Work with Accounts Payable to manage invoices, vendor set up/maintenance, payment reconciliations or issues

• Maintain and review Branch finance and expense management information in collaboration with MBSO and/or Business Service Officer (BSO)

Management Support

• Navigate the firm's resources and act as a liaison with Market Administrator in addition to other various internal and external business partners, including managing requests and escalating as needed

• Provide organizational support for Human Resources by leveraging associated HR systems (I-9 processing, New Hire onboarding, internal transfers and employee termination paperwork)

• Proactively participate in firm initiatives directed by local management

• Communicate and manage firm initiatives for the Branch (e.g., Global Volunteer Month, Annual Appeal) as well as regional and Market initiatives as directed

• Actively engage in available training and education programs to maintain current status on policies, procedures and risk awareness (including licensing requirements for Branch personnel)

• Facilitate and/or conduct ad hoc projects, training, and events for the Branch as necessary

Office Administration Support

• Perform administrative functions for Branch Management team, including telephone coverage, business travel arrangements, coordination of internal and external meetings & events, and file & calendar maintenance

• Serve as a point of contact for Branch facilities management and maintain up-to-date office utilization information in the internal firm system

• Serve as a point of contact for personnel needs (e.g., benefits enrollment, registration/licensing, and communication of policy and updates as it relates to HR and Registration matters),

• Serve as a point of contact for local administrative tasks (e.g., Alternative Flexible Grid (AFG) checkpoints, CPR/AED training and certifications, annual certification of registrations and market data expenses)

• Lead office management efforts, including maintaining office supplies, ordering business cards and stationery, maintaining business continuity plans and acting as the primary point of contact for the associated Rapid Notification System

• Assist with firm remediations as needed

• Act as a point of contact for technology projects, migrations, equipment installs/ replacements

• Coordinate with Market Administrator as it relates to Market driven projects and initiatives and ensuring back-up Administrator coverage

• Administer other duties as delegated by the Market Management Team (Market Manager, Associate Market Manager, Market Business Service Officer, Sr. Risk Officer)

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:

Education and/or Experience

• High School Diploma/Equivalency

• College degree preferred

• Two or more years of related experience is a plus

Knowledge/Skills

• Strong computer skills and knowledge of Microsoft Office

• Excellent verbal and written communication skills, including telephone coverage

• Strong time management skills

• Demonstrates good judgement

• Exceptional interpersonal and client service skills

• Detail orientated with superior organizational skills

• Ability to prioritize work

• Team player with the ability to collaborate with others

• Ability to work in a fast-paced, evolving environment • Adaptable and ability to multitask

• Proactive or self-starter

• Ability to be discreet and maintain confidentiality on sensitive matters

• Willingness to obtain Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)

Reports to:

• Branch Manager

To qualify, applicants must be legally authorized to work in the United States and must not require, now or in the future, sponsorship for employment visa status.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. 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. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

About Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Size: 10,000+ employees
Industry: Financial Services

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