About Company
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. With offices in more than 41 countries, our firm’s employees serve clients worldwide, including corporations, governments, institutions, and individuals. We are committed to maintaining the highest standards of integrity and excellence, fostering a culture of diversity, inclusion, and continuous learning. Joining Morgan Stanley means becoming part of a team that is dedicated to innovation, client service, and making a positive impact on the global economy. We believe in empowering our employees with the tools and opportunities they need to thrive and advance their careers in a dynamic and challenging environment.
Job Description
Morgan Stanley is seeking a highly motivated and experienced Compliance Officer to join our dynamic team in Wheat Ridge, Colorado. In this critical role, you will be instrumental in ensuring that our business operations adhere to all applicable laws, regulations, and internal policies, thereby safeguarding the firm’s reputation and minimizing regulatory risk. The financial industry is complex and constantly evolving, demanding vigilant oversight and proactive measures. As a Compliance Officer, you will work closely with various business units, providing expert guidance on compliance matters, developing robust compliance frameworks, and conducting thorough risk assessments.
Your day-to-day responsibilities will involve interpreting regulatory changes, advising on their impact, and implementing necessary adjustments to our operational procedures. This is an opportunity to contribute significantly to a global leader in financial services, utilizing your expertise to uphold ethical standards and regulatory integrity. We are looking for an individual with a strong analytical mindset, exceptional communication skills, and an unwavering commitment to detail. You will be part of a supportive team that values collaboration and professional development, offering ample opportunities to grow within the firm. If you are passionate about compliance and eager to make a tangible difference in a challenging yet rewarding environment, we encourage you to apply.
Key Responsibilities
- Develop, implement, and maintain robust compliance policies, procedures, and internal controls in line with evolving regulatory requirements.
- Conduct regular compliance monitoring, testing, and risk assessments to identify potential vulnerabilities and ensure adherence to firm policies and external regulations.
- Provide expert advice and guidance to business units on complex regulatory matters, new products, services, and business initiatives.
- Investigate potential compliance breaches, document findings, and recommend corrective actions.
- Prepare and submit regulatory reports, filings, and disclosures accurately and on time.
- Develop and deliver comprehensive compliance training programs to employees at all levels of the organization.
- Stay current with financial industry regulations (e.g., SEC, FINRA, OCC, Federal Reserve) and anticipate future regulatory trends.
- Collaborate with internal audit, legal, and risk management departments to ensure a cohesive approach to governance and oversight.
- Participate in regulatory examinations and internal audits, acting as a key point of contact and providing necessary documentation.
Required Skills
- Bachelor's degree in Finance, Business Administration, Law, or a related field.
- Minimum of 4 years of experience in a compliance, legal, or regulatory role within the financial services industry.
- In-depth knowledge of relevant financial regulations (e.g., securities laws, AML, KYC, Dodd-Frank, MiFID II).
- Strong analytical and problem-solving skills with meticulous attention to detail.
- Excellent written and verbal communication skills, capable of articulating complex regulatory concepts clearly.
- Ability to work independently and collaboratively in a fast-paced, high-pressure environment.
- Proven ability to manage multiple projects simultaneously and meet tight deadlines.
- High level of integrity, ethical conduct, and discretion.
Preferred Qualifications
- Master's degree or Juris Doctor (JD).
- Professional certifications such as Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), or FINRA Series licenses.
- Experience with compliance technology and data analytics tools.
- Prior experience working at a major investment bank or wealth management firm.
- Demonstrated experience in developing and implementing compliance training programs.
Perks & Benefits
- Comprehensive health, dental, and vision insurance plans.
- Competitive 401(k) retirement plan with company match.
- Generous paid time off (PTO) and holidays.
- Opportunities for professional development and career advancement.
- Tuition reimbursement program.
- Employee wellness programs and resources.
- Life and disability insurance.
- Access to exclusive employee discounts and services.
How to Apply
Interested candidates are invited to apply directly through our careers portal. Please click on the application link below to submit your resume and cover letter. We look forward to reviewing your qualifications.