Compliance Registration Analyst recruitment
Position Category: Legal/Compliance
Position Title: Compliance Registration Analyst
Job Level: Professional
Location: USA - MD - Baltimore
Education Required: Bachelors Degree
Position Description:
Join Morgan Stanley's Institutional Regional Processing Center in Baltimore, Maryland. We have an exciting Analyst opportunity within the Legal and Compliance Division's Registration Department.
The Registration Department performs all registration-related activities on behalf of Morgan Stanley Smith Barney, Morgan Stanley Co., LLC, Morgan Stanley Investment Management and its securities professionals. The Department is responsible for the following activities:
• Filing, maintaining, and updating qualification, employment, and disclosure records for all prospective and current employees;
• Filing, maintaining, and updating all records for any openings/closing/changes to any branch office locations;
• Filing, maintaining, and updating Form ADV and Form BD on behalf of the Firm;
• Maintaining records for all licensed employees who are not brokers or otherwise in sales and trading functions;
• Maintaining corporate filings on behalf of all Morgan Stanley broker-dealers;
• Monitoring registered employees completion of regulatory continuing education and ethics training requirements;
• Reviewing daily, weekly, monthly, and annual registration-related reports;
• Maintaining and updating fingerprint records for all permanent and temporary employees associated with the Firm;
• Reviewing and updating the FINRA Member Firm Contact Questionnaire;
• Act as a liaison between the individuals, states, Firm and regulatory bodies
Skills Required:
Individuals applying for this role must possess:
• Strong analytical and problem solving skills
• Strong interpersonal skills
• Excellent oral and written communication skills
• Teamwork skills
• Organizational skills
• Computer literacy
• Planning skills
• Superior time management
• Good 'customer service' skills
Skills Desired:
In addition, candidates should be detail oriented, reliable and adapt quickly to change