Compliance Officer, Wealth Management

Job title: Compliance Officer, Wealth Management

Company: Morgan Stanley


Job description: About The CompanyMorgan Stanley is a global financial services firm and a market leader in investment banking, securities, investment management and wealth management services. With offices in more than 43 countries the people of Morgan Stanley are dedicated to providing our clients the finest thinking, product and services to help them achieve even the most challenging goals.About The OpportunityMorgan Stanley Wealth Management are seeking a Compliance professional with a strong financial product advice 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.ResponsibilitiesEach 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

QualificationsBusiness knowledge / Experience

• Relevant financial services industry experience.
• Wealth Management compliance or operational risk experience

Technical / Specialist Skills

• Solid understanding of the Australian retail financial services laws including Chapter 7 of the Corporations Act
• Excellent working knowledge of the ASIC Market Integrity Rules and ASX Rule books
• A sound command of the Microsoft Office Suite of Products including Excel and Power Point

Personal Attributes / Skills

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

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values – putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back – aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.

Expected salary:

Location: Sydney, NSW

Job date: Sat, 21 Jun 2025 03:52:10 GMT

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