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Morgan Stanley

VP, International WM Compliance Officer

Dallas, TX$108,000 – $185,000Posted 22 days ago

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We're seeking someone to join our team as an International Wealth Management Compliance Officer in Wealth Management Compliance to provide expert jurisdictional guidance across key non-U.S. markets, enhance governance and control standards for cross-border activities, and represent Compliance in strategic business initiatives and regulatory engagements.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the International Wealth Management Compliance team, which provides compliance advice and oversight for international and cross-border Wealth Management activities while shaping the compliance framework that supports the Firm's international growth strategy.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role :

-Provide authoritative jurisdictional guidance on securities laws, regulatory expectations, licensing requirements, and permissible activities across key non-U.S. markets, with particular focus on European and Latin American jurisdictions.
-Develop new policies, procedures, standards, and control frameworks governing cross-border activities conducted by Financial Advisors through the U.S. broker-dealer.
-Assess new and evolving jurisdictional requirements and translate them into practical business requirements, supervisory controls, escalation protocols, and implementation plans.
-Lead Compliance participation in senior governance forums, including New Product, Risk, and Financial Crime Committees, and provide clear challenge, recommendations, and decisions on matters affecting International Wealth Management.
-Direct risk assessments, thematic reviews, testing, and targeted training to evaluate the design and effectiveness of the International Wealth Management compliance framework.
-Oversee complex cross-border matters, regulatory inquiries, and significant issues, including coordinating escalation, remediation, and sustainable closure with relevant stakeholders.
-Build strong partnerships across U.S. and non-U.S. Legal, Compliance, Risk, Financial Crimes, Supervision, and business teams to drive consistent standards and execution across jurisdictions.

What you'll bring to the role :

- Demonstrated jurisdictional expertise in U.S. and non-U.S. financial services regulation, with strong knowledge of European and Latin American securities, licensing, and cross-border requirements.
-Experience developing and implementing new compliance policies, procedures, control frameworks, and governance standards in response to business growth or regulatory change.
- Ability to interpret complex and evolving regulatory requirements, form independent judgments, and provide practical, risk-based advice to senior management.
- Experience leading complex cross-border initiatives, risk assessments, regulatory matters, or remediation efforts across multiple functions and jurisdictions.
- Executive presence and credibility to influence senior stakeholders, provide effective challenge, and represent Compliance in management and governance forums.
- Excellent written and verbal English communication skills, with the ability to translate complex jurisdictional requirements into clear business expectations and senior-level recommendations.
- FINRA Series 7 and 24 or 9/10 preferred.

Typically, 9-10+ years' relevant experience would generally be expected to find the skills required for this role

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.

Expected base pay rates for the role will be between $108,000.00 and $185,000.00 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

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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