Employee Investing and Activities Compliance, and Registration, are Global functions that craft policies, and provide guidance, to employees of the Firm regarding employee trading restrictions, black-out windows for trading Firm securities, engagement in certain activities conducted away from the Firm, and registration requirements related to Firm activities.
The Wealth Management Employee Investing and Activities Compliance Team (WM EIAC) provides coverage for the Retail Branch Offices and the Home Office business units within the Broker-Dealer Division.
The Registration Department provides coverage for the U.S. based broker-dealer divisions for Global Morgan Stanley.
Both Departments play an important role within the firm and engage our Global counterparts as well as key stakeholders within the Business, Risk, Compliance, and Legal teams.
• Detail oriented with superior attention to detail.
• Ability to effectively multi-task and manage deadlines.
• Advanced proficiency in MS office applications (particularly Excel) with ability to create pivot tables, metrics and tracking sheets for remediation efforts.
• Intermediate analytical / critical thinking and problem-solving skills.
• Ability to work both independently, as well as in a team-oriented, collaborative environment.