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Manages Wealth Management Platforms’ contingent workforce, vendor relationships, sourcing and contracting workflows, budgets, forecasts, reconciliations, invoices, and expense policy support. Prepares financial reviews and business proposal materials for leadership, resolves vendor and billing issues, and provides reporting and prioritized support for time-sensitive initiatives. The role requires strong program management, financial services experience, accounting knowledge, communication, organization, and proficiency with Microsoft Office tools.

The Regional Compliance Officer will advise Wealth Management teams on compliance, conduct risk, and regulatory issues while overseeing risk management and compliance initiatives within the region.

Lead and execute audits and assurance activities across Operational Risk and Enterprise Non-Financial Risk. Identify and assess risks and control gaps, develop audit findings, facilitate stakeholder conversations, and manage multiple deliverables while supporting continuous monitoring, closure verification, and team development.

Leads revenue growth, profitability, risk management, client service, recruiting, retention, and development across a primary branch and assigned market branches. Manages Financial Advisors and support staff, drives sales and marketing initiatives, oversees compliance and supervisory procedures, develops teams, manages fiscal and personnel matters, and reports performance and risks to the Market Executive.

Manages ultra-high-net-worth and family office portfolios within Morgan Stanley’s OCIO group. Responsibilities include asset allocation, manager selection, portfolio construction, risk management, monitoring, UHNW planning education, investment policy statements, client reporting, operational coordination, and business development. The role also supports concentrated equity strategies, tax and estate planning, client cash-flow needs, and creation of investment intellectual capital.

Handles inbound customer inquiries about brokerage accounts, money movement, account updates, and trade requests. Provides customer service, resolves issues, educates clients about financial products, identifies sales opportunities, follows operational processes, and supports client retention and risk reduction. The role includes paid training for Series 7 and Series 63 licensing, continuing education, and collaboration with internal teams in a hybrid environment.

Handle inbound client calls about portfolios, account updates, money movement, and trade requests. Provide customer service, resolve issues, identify sales opportunities, educate clients about financial products, follow compliance procedures, and pursue Series 7 and 63 licensing through employer-paid training.

Provides legal and regulatory advice to Global Operations stakeholders on financial operations, customer asset protection, securities processing, payments, custody, digital assets, and emerging frameworks. Advises governance forums, analyzes regulatory developments, supports strategic initiatives and new products, and drafts and negotiates commercial and financial services agreements. Collaborates with Compliance, Risk, Technology, and global business teams while developing subject matter expertise.

Lead assurance activities for applications and infrastructure supporting Institutional Securities, assess technology risks and controls (development, change management, resilience, cybersecurity, data), identify emerging risks, align audit projects with priorities, communicate findings to senior management, partner globally, and manage and develop audit staff.

Provides inbound customer service for investment accounts, handling money movement, account updates, trade requests, and follow-ups. Educates clients about financial products, identifies sales opportunities, resolves issues collaboratively, manages risk, and maintains compliance. Morgan Stanley provides training for Series 7 and 63 licensing. The role requires a hybrid schedule, ongoing financial-market education, and strong customer-service, sales, communication, and problem-solving skills.