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.
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The Licensed Compliance Reviewer or "Principal Reviewer" role is primarily responsible for various supervisory, risk-related, and approval functions. The Principal Reviewer has accountability for maintaining a consistent controlled environment through adherence to business ethics and practices related to Morgan Stanley policies, FINRA rules, and other regulations. The Principal reviewer role requires ongoing client contact with the expectation of providing exceptional client care. The Principal Reviewer should have experience handling escalated client issues and be and experienced in various aspects of Financial Services. In addition, Principal Reviewer role requires 9/10 supervisory licenses to be considered for the opportunity.
This role is for our Gilbert, AZ office.
Role Responsibilities
- Facilitates supervisory complaint inquiries escalated from various Corporate Institutional Services Teams
- Responsible for timely submission of customer complaints and proactive client contact to resolve accordingly
- Liaises with the Legal and Compliance Division regarding customer complaints and litigation
- Work closely with the Recovery team on resolving client issues with the utmost professionalism and care
- Ensures appropriate supervisory coverage is always maintained within the team
- Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
- Provide the coaching and guidance on policies and procedures in order to promote risk awareness in a compliant environment
- Supports the risk team in the preparation for and response to audits as needed
- Provide support across teams on complex issues requiring Principal Review
- Keep current on SEC/FINRA, Compliance and Firm guidelines and apply to all activity to ensure risk mitigation
- Effective risk recognition and mitigation, including ensuring a thorough understanding of and adherence to all policies and procedures.
- Other duties as assigned
Required Qualifications
- 3 years of experience working within the Financial Services
- 1 to 2 years of compliance reviewing experience or 1 year as a people manager or supervisor
- Active Licenses required:
- Series 7
- Series 66
- Series 9 and 10 OR the agreement and ability to obtain within 14 weeks of start date.
- 1 year of working knowledge or experience with SEC and FINRA
Preferred Qualifications
- Bachelor's degree
- Firm Compliance Policies and Procedures
Soft Skills
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to prioritize and resolve complex issues, escalating as needed
- Ability to identify issues and trends in order to anticipate change and provide comprehensive solutions and remedies
- Evidence of strong leadership capabilities or previous supervisory experience
- Ability to organize and prioritize workflow and assignments in a deadline-oriented environment
- Ability to interact effectively with Financial Advisors, Service Associates, and clients
- Ability to excel in a fast-paced environment with steady and heavy volumes at times
- Strong work ethic and interpersonal skills
- Team player
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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Keywords: Supervisor, manager, compliance, reviewer, financial, SEC, FINRA, Series 9 / 10, Series 7, Series 66, License, Tampa, Temple Terrace, Gilbert, Phoenix, client care