We're seeking someone to join our team as an International Wealth Management Compliance Officer in Wealth Management Compliance to provide expert jurisdictional guidance across key non-U.S. markets, enhance governance and control standards for cross-border activities, and represent Compliance in strategic business initiatives and regulatory engagements.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the International Wealth Management Compliance team, which provides compliance advice and oversight for international and cross-border Wealth Management activities while shaping the compliance framework that supports the Firm's international growth strategy.
What you'll do in the role:
-Provide authoritative jurisdictional guidance on securities laws, regulatory expectations, licensing requirements, and permissible activities across key non-U.S. markets, with particular focus on European and Latin American jurisdictions.
-Develop new policies, procedures, standards, and control frameworks governing cross-border activities conducted by Financial Advisors through the U.S. broker-dealer.
-Assess new and evolving jurisdictional requirements and translate them into practical business requirements, supervisory controls, escalation protocols, and implementation plans.
-Lead Compliance participation in senior governance forums, including New Product, Risk, and Financial Crime Committees, and provide clear challenge, recommendations, and decisions on matters affecting International Wealth Management.
-Direct risk assessments, thematic reviews, testing, and targeted training to evaluate the design and effectiveness of the International Wealth Management compliance framework.
-Oversee complex cross-border matters, regulatory inquiries, and significant issues, including coordinating escalation, remediation, and sustainable closure with relevant stakeholders.
-Build strong partnerships across U.S. and non-U.S. Legal, Compliance, Risk, Financial Crimes, Supervision, and business teams to drive consistent standards and execution across jurisdictions.
What you'll bring to the role:
- Demonstrated jurisdictional expertise in U.S. and non-U.S. financial services regulation, with strong knowledge of European and Latin American securities, licensing, and cross-border requirements.
-Experience developing and implementing new compliance policies, procedures, control frameworks, and governance standards in response to business growth or regulatory change.
- Ability to interpret complex and evolving regulatory requirements, form independent judgments, and provide practical, risk-based advice to senior management.
- Experience leading complex cross-border initiatives, risk assessments, regulatory matters, or remediation efforts across multiple functions and jurisdictions.
- Executive presence and credibility to influence senior stakeholders, provide effective challenge, and represent Compliance in management and governance forums.
- Excellent written and verbal English communication skills, with the ability to translate complex jurisdictional requirements into clear business expectations and senior-level recommendations.
- FINRA Series 7 and 24 or 9/10 preferred.
Typically, 9-10+ years' relevant experience would generally be expected to find the skills required for this role
Expected base pay rates for the role will be between $108,000.00 and $185,000.00 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
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