2 jobs for "Associate/Director, Core Compliance Generalist"

Employee Investing and Activities Compliance, Associate/Director

At Morgan Stanley - Dallas

Posted on Nov 3

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Corporate Treasury Forecasting & Planning - Associate/AVP

At Morgan Stanley - New York

Posted on Nov 3

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Morgan Stanley

Employee Investing and Activities Compliance, Associate/Director

Dallas, TXPosted 5 days ago

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Employee Investing and Activities Compliance (EIAC) Professional

We're seeking someone to join our team as a Professional in Legal and Compliance to work for the Employee Investing and Activities Compliance (EIAC) team. EIAC managers serve as the primary point of contact for all business units in all regions, providing guidance on employee trading policies, reviewing, and processing outside business interests (outside securities account, private investments, and outside business activities) and maintaining ongoing communication with employees and Designated Managers regarding compliance requirements. The EIAC managers also support regulatory, Compliance Testing, and Internal Audit inquiries by gathering employee information and partnering with the various risk teams and the EIAC Mumbai team to review potential employee trading violations.

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.

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:
- Serve as the Compliance Manager for assigned WM Field and Home Office employees.
- Review and process outside business activity and private investment disclosures in accordance with Firm policies.
- Provide guidance on Employee Trading, Outside Business Activity, and Private Investment policies applicable to employees subject to Wealth Management, Global, or supplemental department policies.
- Maintain designated manager assignments and assist with system access requests.
- Follow up with employees and designated managers on pending requirements.
- Assist with gathering employee information requested by regulators, Internal Audit, or Branch Exams.
- Assist risk teams and the EIAC Mumbai team with potential employee trading violation reviews.
- Serve as a resource to the WM EIAC Mumbai team on outside personal securities account disclosure matters.
- Collaborate with other departments and teams on policy-related matters, escalations, and issue resolution. What you'll bring to the role:
- Strong interpersonal and collaboration skills.
- Excellent written and verbal communication skills.
- Ability to work effectively in a team environment.
- Strong organizational and planning skills.
- Proficiency with standard business technology and systems.
- Superior time management and prioritization skills.
- Client-service mindset.
- High attention to detail.
- Knowledge of industry regulations and previous compliance experience, preferably within Wealth Management.

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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