Compliance Officer, Wealth Management Compliance

Morgan Stanley
Sydney, Australia
Jul 01, 2022
Jul 21, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
About The Company

Morgan Stanley has earned an enviable reputation for the originality of its research and the value it creates for investors and decision makers. Consistently ranked among the top in its field, our Equity Research team looks at economic, market, industry, and company data to enhance the performance of clients' global portfolios and to help companies set their strategic direction.

About The Opportunity

Morgan Stanley Wealth Management are seeking a Compliance professional at Director (Manager / AVP) or VP level with a strong equity background and working knowledge of the ASIC Market Integrity Rules and Chapter 7 of the Corporations Act to join the existing Wealth Management Compliance team.


Each member of the Wealth Management Team is assigned primary responsibility of a core activity/activities depending on their skillset and experience and works with closely with Compliance Management on related deliverables. As a new member of the team you may be assigned a number of these activities or asked to assist other team members with completing tasks related to their primary area of responsibility.

The core activities conducted by the Wealth Management Compliance team are set out below.

• Advisory - Providing ongoing advice and respond to queries received from the business e.g. answer inbound telephone queries and emails.

• Governance - Assist in the preparation of management reporting and represent WM Compliance in various governance forums.

• Surveillance - Complete monitoring and surveillance tasks.

• Regulatory matters - Prepare response to regulatory notices and assist with related investigations.

• Breaches - Investigate potential breaches to determine if there has been a regulatory or internal policy breach and document the findings using Firm approved templates.

• Conduct and Disciplinary matters - Assist with the preparation of documentation used in the Firm's employee discipline process when required.

• Training & Education- Assist with the preparation and delivery of Compliance training. This may include quarterly interstate travel.

• Regulatory change - Review new legislation / rules changes and work with Snr members of LCD to 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 and initiatives 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
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