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Morgan Stanley

Manages investments and advises on financing

Associate/Director - Core Compliance Generalist

Regulatory Compliance & EthicsUpdated on Nov 12
Full-timeDallas, TX, USANo salary listedIn-person

About the Job

Requirements

  • A bachelor's degree is required.
  • Three to five years of demonstrated experience in the financial services industry in a risk or process/project management role is required.
  • The ability to produce high-quality, error-free deliverables in a fast-paced, deadline-sensitive environment is essential.
  • Strong verbal and written communication skills are required to communicate effectively and establish working relationships with colleagues and stakeholders at all levels and from varied backgrounds.
  • Strong organization and time-management skills are required to manage multiple responsibilities and projects with competing priorities and deadlines.
  • The ability to analyze and assimilate varied data and produce meaningful presentations and reports is required.
  • Excellent analytical skills and the ability to solve problems and streamline processes are required.
  • High proficiency in Microsoft Office Suite, particularly PowerPoint, is required.

Responsibilities

  • Provide overall support for Non-Financial Risk governance reporting processes, including preparing monthly, quarterly, and ad hoc materials for senior-level management and external regulators.
  • Support regulatory exam and audit management, including gathering responses and materials from contributors and assisting with drafting and preparing audit and exam responses.
  • Organize audit and exam materials.
  • Document departmental processes.
  • Create and maintain department trackers and record-keeping systems.

About the Company

Morgan Stanley

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.

Company size
10,001+
Company stage
IPO
Headquarters
New York City, New York
Founded
1935

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