Vice President - Compliance, Wealth Management Coverage Vice President - Compliance, Wealth Management  …

Morgan Stanley
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Morgan Stanley
in Sydney, New South Wales, Australia
Permanent, Full time
Be the first to apply
Vice President - Compliance, Wealth Management Coverage
About The Role

Morgan Stanley Wealth Management is seeking a senior level Compliance Manager with strong financial services industry experience and technology and analytical skills to assist with the continued application of Morgan Stanley's compliance framework.

Key Responsibilities

Depending on your skillset and experience you may be asked to assist with some or all of the following activities:

• Management Support - mentor and oversee the activities of junior staff, provide training to new team members and provide support to the Head of WM Compliance as required
• Governance - Assist in the preparation of management reporting and represent WM Compliance in various governance forums
• Surveillance - ongoing oversight/review of monitoring and surveillance tasks performed offshore
• Regulatory matters - preparation of regulatory notice responses and assist with related investigations as required
• Breaches - investigate any potential breaches to determine if there has been a regulatory or internal policy breach and document the findings using the Firm's templates
• Conduct and Disciplinary matters - assist with the preparation of documentation used in the Firm's employee discipline process and participate in employee discipline meetings when required
• Training & Education - assist with the preparation and delivery of Compliance training (quarterly interstate travel required)
• Regulatory change - Review any legislation or regulatory change and determine the impact of these changes upon the Wealth Management business
• Client complaints - Assist with the investigation of client complaints and the preparation of written responses as required
• Marketing Review - Assist with the review and approval of marketing collateral including newspaper articles, presentations, advertisements, brochures and new product materials
• Project work and business initiatives - provide support with ad-hoc projects as required from time to time


Personal Responsibilities

• Comply with the ethical standards contained within the firm's Code of Conduct
• Adhere to the firm's policies and procedures, regulatory and legislative requirements
• Engage with stakeholders in the business to engender a culture of Compliance
• Lead by example and conduct yourself in accordance with the firm's core values

Key Competencies/ Skills

Business Knowledge / Experience

• 10+ years financial services industry experience ideally within a Wealth Management firm
• 5+ years in a compliance, operational risk, audit and/or project role
• Strong working knowledge of Australian retail financial services laws highly desired

Technical / Specialist Skills

• Advanced skills in Microsoft Excel including but not limited to:

o Use of formulas including VLOOKUP, IF/THEN, mathematical calculations, etc.
o Advanced conditional formatting
o Pivot tables and charting
o Recording and modifying macros (understanding of VBA beneficial)

• Advanced Microsoft Word and Power Point experience
• Ability to demonstrate a data analysis mindset
• Experience using various databases

Personal Attributes / Skills

• Exceptional analytical and critical thinking capabilities
• Excellent written and communication skills
• Keen attention to detail
• Proactive and self-motivated
• Ability to work in a fast-paced environment where there is constant change
• Capacity to work effectively both as part of a team and autonomously

Equal Opportunity Statement

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
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