ED, Regional Compliance Officer (Northeast)

Job description

We're seeking someone to join our team as a Regional Compliance Officer in WM Field Compliance to engage directly with the in an advisory capacity with the Wealth Management Northeast Regional team and using various data collected across the Firm, to aid in the identification of activity that may be indicative of unusual conduct, trading patterns, potential gaps in supervision, or possible violations of law, regulations, or internal policies and procedures. 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 an Executive Director level position within WM Field Compliance which focuses on providing advisory guidance to the Wealth Management Field. WM Field Compliance is comprised of Regional Compliance Officers and Field Service Compliance, Compliance Conduct Risk, Private Wealth Management, International Wealth Management, and WM PBG Compliance. 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....