Morgan Stanley
ED, Regional Compliance Officer (Northeast)
$165K–$275K
Purchase, New York · On-site · Full-time · Posted Apr 21, 2026
- Experience
- Minimum 10+ years in a Senior Compliance or Risk role.
- Education
- Bachelor's Degree required.
About the job
Provides advisory compliance guidance to Wealth Management leadership in the Northeast, identifies and escalates regional risks, and leads initiatives to improve policies and supervision.
What you'll do
- Advise Regional and Market management on Firm and regulatory policies, high-risk matters, and supervisory issues.
- Lead Field Compliance projects to identify and recommend policy or supervisory improvements; develop or enhance related policies, processes, and reports.
- Analyze and report regional trends and metrics, conduct employee training, and present regulatory or policy updates.
What they ask for
- 10+ years of work experience in a Senior Compliance or Risk role.
- Strong understanding of SEC and FINRA regulations, especially sales practices and suitability for retail products in brokerage and advisory accounts.
- Extensive knowledge of the listed Wealth Management products and broker-dealer conflicts and business practices.
- Bachelor's Degree required.
Nice to have
- Preference for FINRA SIE, Series 7, 9/10, 24, and/or 65/66.
- Relevant Wealth Management business experience.
Pay
$165,000 and $275,000 per year (base salary)
Model-written summary · the original posting is authoritative