MSWM Compliance Registration Analyst
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 Wealth Management, 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
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