Wealth Management Investment Resources Registered Principal/Supervisory Analyst

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 21 Oct 18

Wealth Management Investment Resources Registered Principal/Supervisory Analyst

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 Overview
Wealth Management Investment Resources produces macro-to-micro research and analysis to help FAs build their practices and manage their clients' portfolios.

Role Responsibilities
The Registered Principal (RP) and Supervisory Analyst (SA) team is part of the wider Supervisory & Production Support team within Morgan Stanley Wealth Management Investment Resources. The team reviews and approves Research, Strategy and Marketing content produced by analysts and strategists in the United States.

Key responsibilities include but are not limited to:

  • Review research/strategy products (notes, reports, presentations, etc.) for quality and adherence to relevant regulations and business standards.
  • Provide regulatory/business approval for research/strategy/marketing content to be distributed to Financial Advisors and clients.
  • Coordinate FINRA filings with compliance team.
  • Review requests for public appearances, trades and generate appropriate disclosures if necessary.


  • Bachelor's Degree
  • 5+ years Supervisory Analyst experience, 1+ years Registered Principal experience

  • Series 24 and 16 required
  • Strong writing skills are desirable
  • Must be a highly numerate and literate individual
  • Competent PC skills (Outlook, Word, Excel, PowerPoint)
  • Ability to communicate effectively
  • Must be a strong team player
  • Ability to work under intense deadline pressure while maintaining close attention to detail
  • Professional, committed, flexible and diplomatic