Director, Compliance

Morgan Stanley • Baltimore, MD

1d • $109,000 - $125,000 • Hybrid

About The Position

Provide advisory coverage regarding laws, regulations, regulatory guidance, and internal policies and procedures with respect to registration requirements; individual, branch, and corporate licensing; disclosure reporting on Form U4, U5, 8-R, and 8-T; OBI activity, training, regulatory filings, and regulatory inquiries; and regulatory developments. Support all aspects of the registration and licensing process to ensure that the regulatory requirements for the Firm and its registered employees are compliant. Maintain registration records and procedures. Assist with the review and interpretation of disclosure records for current and prospective employees. Ensure licensing requirements for all registered employees have been satisfied. Notify the business of new regulatory developments and rules; interpret new and existing rules; implement adequate processes to ensure compliance. Coordinate escalations from the department's offshore team and act as a liaison. Telecommuting permitted up to two (2) days per week. -Requires a Bachelor's in in Accounting, Finance, or a closely related field. Employer will accept 3-year or 4-year foreign Bachelor's degree. -Requires five (5) years of experience in the position offered or five (5) years as a Director, Manager, Associate, Officer, Administrator, Compliance, or a closely related occupation Applying expertise in regulatory requirements for individual and branch registration; Ensuring adherence to SEC, FINRA, and state regulations; Filing and reviewing Forms U4, U5, BR and 8R; Reviewing and reporting OBA's per FINRA rule 3270; Assisting in regulatory inquiries, document requests, and audit responses; Reviewing, identifying, and investigating criminal, financial, and employment matters for compliance reporting and vetting; Managing registrations and filings in FINRA CRD and NFA ORS; Monitoring new regulatory developments, particularly those affecting securities licensing and registration; Drafting and maintaining compliance policies related to securities registration; Applying knowledge of individual and firm-level registration requirements across 53 distinct jurisdictions; and Ensuring proper documentation and retention of securities registration and licensing records. 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. 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. Salary range for the position: $109,000 - $125,000 /Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. 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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Requirements

• Requires a Bachelor's in in Accounting, Finance, or a closely related field. Employer will accept 3-year or 4-year foreign Bachelor's degree.
• Requires five (5) years of experience in the position offered or five (5) years as a Director, Manager, Associate, Officer, Administrator, Compliance, or a closely related occupation
• Applying expertise in regulatory requirements for individual and branch registration
• Ensuring adherence to SEC, FINRA, and state regulations
• Filing and reviewing Forms U4, U5, BR and 8R
• Reviewing and reporting OBA's per FINRA rule 3270
• Assisting in regulatory inquiries, document requests, and audit responses
• Reviewing, identifying, and investigating criminal, financial, and employment matters for compliance reporting and vetting
• Managing registrations and filings in FINRA CRD and NFA ORS
• Monitoring new regulatory developments, particularly those affecting securities licensing and registration
• Drafting and maintaining compliance policies related to securities registration
• Applying knowledge of individual and firm-level registration requirements across 53 distinct jurisdictions
• Ensuring proper documentation and retention of securities registration and licensing records.

Responsibilities

• Provide advisory coverage regarding laws, regulations, regulatory guidance, and internal policies and procedures with respect to registration requirements; individual, branch, and corporate licensing; disclosure reporting on Form U4, U5, 8-R, and 8-T; OBI activity, training, regulatory filings, and regulatory inquiries; and regulatory developments.
• Support all aspects of the registration and licensing process to ensure that the regulatory requirements for the Firm and its registered employees are compliant.
• Maintain registration records and procedures.
• Assist with the review and interpretation of disclosure records for current and prospective employees.
• Ensure licensing requirements for all registered employees have been satisfied.
• Notify the business of new regulatory developments and rules; interpret new and existing rules; implement adequate processes to ensure compliance.
• Coordinate escalations from the department's offshore team and act as a liaison.

Benefits

• The successful candidate may be eligible for an annual discretionary incentive compensation award.
• The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component.
• Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.
• 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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

What This Job Offers

• Job Type: Full-time
• Career Level: Director