Compliance Specialist

Vista previa de la oferta

Compliance Specialist – Sales Practice Complaints

senior · Risk & Compliance

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

Review client communications and determine whether they meet the Firm’s complaint criteria

• Validate complaint allegations by reviewing relevant account activity and supporting information

Validate complaint allegations by reviewing relevant account activity and supporting information

• Distinguish sales practice complaints from non-sales practice matters

Distinguish sales practice complaints from non-sales practice matters

• Assess potential conduct, regulatory, and reputational risks

Assess potential conduct, regulatory, and reputational risks

• Apply FINRA and internal complaint classifications accurately and consistently

Apply FINRA and internal complaint classifications accurately and consistently

• Route cases to the appropriate Legal, Compliance, or Operations teams

Route cases to the appropriate Legal, Compliance, or Operations teams

• Provide practical guidance to business partners on complaint identification and classification

Provide practical guidance to business partners on complaint identification and classification

• Support non-sales practice complaints when business volumes require additional coverage

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

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

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

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

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

Experience in risk classification, complaint identification, account activity validation, or regulatory case assessment

• Sound judgement and confidence escalating sensitive or higher-risk matters

Sound judgement and confidence escalating sensitive or higher-risk matters

• Excellent attention to detail and a commitment to accurate, well-documented decisions

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

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

Ability to manage multiple cases and deadlines in a structured, efficient way

• A proactive and collaborative mindset, with confidence working independently

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

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

Build specialist expertise in sales practice complaints

• Apply your investigations, monitoring, testing, audit, or compliance experience in a highly analytical role

Apply your investigations, monitoring, testing, audit, or compliance experience in a highly analytical role

• Gain exposure to complex international client matters and global stakeholders

Gain exposure to complex international client matters and global stakeholders

• Develop valuable skills in risk classification, account analysis, regulatory coding, and complaint governance

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

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

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 .