Compliance Specialist
Morgan Stanley
Compliance Specialist
Morgan Stanley
Manages investments and advises on financing
Apply your investigative mindset. Build specialist expertise. Protect clients.
Ready to take your compliance or investigations career in a new direction? Join Morgan Stanley’s Compliance team in Budapest and play a key role in identifying, assessing, and routing sales practice complaints accurately and efficiently.
You will review client communications submitted through the complaint management system, validate allegations against account activity, apply regulatory and internal classifications, and help determine the appropriate next steps. Working with colleagues across Compliance, Legal, Risk, Operations, and Customer Service, you will gain exposure to complex international cases.
This is an exciting opportunity for professionals with experience in compliance monitoring, compliance testing, investigations, complaints handling, regulatory controls, AML/KYC, operational risk, or internal audit. Previous financial services experience is valuable, but candidates with strong transferable investigative and risk-assessment skills are also encouraged to apply.
In the Legal & Compliance division, we help the Firm achieve its business objectives while effectively managing legal, regulatory, and franchise risk.
Since 1935, Morgan Stanley has been a global leader in financial services, continuously evolving and innovating to better serve clients and communities in more than 40 countries.
What you’ll do
Review client communications and determine whether they meet the Firm’s complaint criteria
Validate complaint allegations by reviewing relevant account activity and supporting information
Distinguish sales practice complaints from non-sales practice matters
Assess potential conduct, regulatory, and reputational risks
Apply FINRA and internal complaint classifications accurately and consistently
Route cases to the appropriate Legal, Compliance, or Operations teams
Provide practical guidance to business partners on complaint identification and classification
Support non-sales practice complaints when business volumes require additional coverage
Identify recurring themes, trends, and potential root causes, sharing actionable insights with team leadership
Build deep subject matter expertise in sales practice complaints, complaint governance, and Wealth Management conduct risk
What you’ll bring
4–10 years’ experience in compliance monitoring, compliance testing, investigations, complaints handling, regulatory controls, AML/KYC, operational risk, internal audit, or legal and regulatory advisory
Strong investigative and analytical skills, with the ability to assess allegations against supporting evidence
Experience in risk classification, complaint identification, account activity validation, or regulatory case assessment
Sound judgement and confidence escalating sensitive or higher-risk matters
Excellent attention to detail and a commitment to accurate, well-documented decisions
Strong written and verbal English, with the ability to communicate clearly across different audiences
Ability to manage multiple cases and deadlines in a structured, efficient way
A proactive and collaborative mindset, with confidence working independently
Knowledge of financial markets, investment products, broker-dealer activities, FINRA, SEC, or consumer-protection requirements is an advantage
Why join us?
Build specialist expertise in sales practice complaints
Apply your investigations, monitoring, testing, audit, or compliance experience in a highly analytical role
Gain exposure to complex international client matters and global stakeholders
Develop valuable skills in risk classification, account analysis, regulatory coding, and complaint governance
Work with experienced colleagues across Compliance, Legal, Risk, Operations, and Customer Service
Grow your career in a supportive global environment that values accuracy, integrity, ownership, and continuous learning
#LI-KP1
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
Manages investments and advises on financing
Morgan Stanley advises companies and governments on financing and manages investments for institutions, individuals, and families. Its business combines investment banking and securities trading with wealth management and an asset-management division that invests across public and private markets. Bankers arrange stock and bond sales and advise on mergers, while advisors build client portfolios and fund managers invest money under agreed strategies. The firm earns advisory and management fees, trading revenue, commissions, and interest from lending and deposits. Morgan Stanley was founded as a partnership in 1935 and is headquartered in New York City.
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