Morgan Stanley
Employee Investing and Activities Compliance, Associate/Director
Dallas, Texas · On-site · Director · Full-time · Posted Oct 13, 2026
About the job
Manages employee investing and outside-activity compliance for assigned Wealth Management employees, including reviewing disclosures, providing policy guidance, and supporting regulatory and internal reviews.
What you'll do
- Review and process outside business activity and private investment disclosures under Firm policies, and advise employees on relevant policies.
- Support regulatory, Internal Audit, and Branch Exam inquiries by gathering employee information and assisting with potential employee trading violation reviews.
- Maintain designated manager assignments, follow up on pending requirements, and collaborate with teams on policy matters and issue resolution.
What they ask for
- Strong interpersonal and collaboration skills, with effective written and verbal communication.
- Strong organizational, planning, time-management, and prioritization skills.
- Proficiency with standard business technology and systems.
- High attention to detail and a client-service mindset.
Nice to have
- Knowledge of industry regulations.
- Previous compliance experience, preferably within Wealth Management.
Model-written summary · the original posting is authoritative