Wealth Management Compliance Registration Associate

  • Competitive
  • Baltimore, MD, États-Unis
  • CDI, Plein-temps
  • Morgan Stanley USA
  • 20 nov. 17 2017-11-20

Wealth Management Compliance Registration Associate

Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

The Registration Department services Morgan Stanley Wealth Management (MSWM), Institutional Securities Group (ISG), and Morgan Stanley Investment Management (MSIM) business groups. The Registration Department is responsible for obtaining and maintaining the securities licenses for the Firm, its employees and branch offices. The Department is mainly responsible for the following activities:

Primary Responsibilities:
- Analyzing, filing, maintaining, and updating qualification, employment, and disclosure records for all prospective and current employees.
- Analyzing, filing, maintaining, and updating all records for any openings/closing/changes branch locations.
- Maintaining records for all registered employees of the Firms serviced.
- Maintaining corporate filings on behalf of MSWM, ISG, and MSIM broker-dealers.
- Reviewing adverse fingerprint records for all permanent and temporary employees associated with the Firm.
- Act as a liaison between the individuals, states, Firm and regulatory bodies.
- Perform periodic process/procedure review and analysis.
There are critical deadlines set for each of the above activities, and it is imperative for the Firm to meet those deadlines to prevent any liability to the Firm.


-Exceptional organizational skills and a high degree of attention to detail
-Ability to juggle multiple tasks of varying degrees of urgency
-Excellent oral and written communication skills
-Strong work ethic, team work, and drive
-Ability to effectively present information in one-on-one and group situations
-Proficiency in Microsoft Office applications, especially Excel and PowerPoint.
-Prior experience in the securities industry prefered