Compliance Officer Compliance Officer …

Morgan Stanley
in Dallas, TX, United States
Permanent, Full time
Be the first to apply
Competitive
Morgan Stanley
in Dallas, TX, United States
Permanent, Full time
Be the first to apply
Competitive
Compliance Officer
Branch Review Team Compliance Officer

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.

Position Description

Morgan Stanley’s Bank Compliance team seeks a Compliance Officer for the Branch Review Team to perform consumer compliance tests related to Wealth Management Financial Advisor residential mortgage lending and bank product referral activities to Morgan Stanley Private Bank, National Association. 

Primary Responsibilities

  • Perform testing prior to, and  on-site testing of MSSB locations across the United States of America  specific to Financial Advisor residential mortgage-related activities, testing adherence to and compliance with consumer protection laws and regulations that apply to residential mortgage lending
  • Document testing results using the workpaper documentation system
  • Prepare well written reports
  • Complete reviews on time
  • Assist in the identification and remediation of mortgage related compliance issues found during the testing process.
  • Track and monitor risk indicators and timely escalation of emerging issues to senior management.
  • Perform additional tasks as required.

Skills Required

  • Bachelor’s Degree
  • At least 5 years of experience in mortgage banking, consumer finance or retail banking compliance or legal department
  • Strong knowledge of consumer protection laws and regulations that apply to residential mortgage lending such as RESPA, TILA, FCRA and ECOA
  • Knowledge of testing methodology and execution
  • Adept at performing testing and reporting results
  • Excellent written and verbal communication skills
  • Proficiency with Microsoft Excel

Skills Preferred

  • Exceptional reasoning and analytical skills
  • Robust time and organizational management techniques
  • Ability to work independently and with team members and partners across the organization to complete deliverables

Travel*

  • Travel expected up to 30%, domestically
  • *Travel currently paused due to pandemic, testing being performed remotely

Primary Location: Americas-United States of America-Texas-Dallas
Work Locations:
Job: Compliance
Organization: Morgan Stanley
Job Posting: Feb 4, 2021
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