Wealth Management Digital Direct Compliance Officer

Are you a highly motivated and detail-oriented individual with a passion for compliance in the digital world? If so, Morgan Stanley is seeking a Wealth Management Digital Direct Compliance Officer to join our team. As a leader in the financial services industry, we are committed to providing our clients with the best possible experience. In this role, you will play a critical part in ensuring that our digital direct platform meets all regulatory requirements and adheres to our company's high standards of compliance. We are looking for someone with strong analytical skills, excellent communication abilities, and a deep understanding of the ever-evolving digital landscape. If you are ready to take on a challenging and rewarding role in a fast-paced environment, we want to hear from you.

1. Develop and maintain a thorough understanding of all relevant laws, regulations, and industry standards related to digital direct platforms in the financial services industry.
2. Conduct regular reviews and audits of the digital direct platform to ensure compliance with regulatory requirements and company policies.
3. Collaborate with cross-functional teams, including technology and product development, to identify potential compliance issues and recommend solutions.
4. Monitor and assess changes in the regulatory landscape and provide guidance to management on the potential impact on the digital direct platform.
5. Develop and implement compliance training programs for employees to ensure understanding and adherence to compliance standards.
6. Serve as the primary point of contact for regulatory inquiries and examinations related to the digital direct platform.
7. Conduct risk assessments and propose strategies to mitigate potential compliance risks.
8. Review and approve marketing materials and communications related to the digital direct platform to ensure compliance with regulatory guidelines.
9. Maintain accurate and detailed records of compliance activities and provide regular reports to senior management.
10. Stay informed on industry best practices and make recommendations for continuous improvement of compliance processes and procedures.
11. Lead and mentor junior compliance team members to ensure a strong understanding of compliance standards and procedures.
12. Communicate regularly with external stakeholders, such as regulators and auditors, to address any compliance-related issues and provide necessary documentation.

According to JobzMall, the average salary range for a Wealth Management Digital Direct Compliance Officer in New York, NY, USA is between $86,000 and $148,000 per year. This salary range can vary depending on the specific company, years of experience, and additional skills and qualifications.

Morgan Stanley provides investment banking products and services to its clients and customers including corporations, governments, financial institutions, and individuals. It operates through the following business segments: Institutional Securities, Wealth Management, and Investment Management. The Institutional Services segment provides financial advisory, capital-raising services, and related financing services on behalf of institutional investors.