Morgan Stanley
Wealth Management Institutional RIA Compliance Officer
Morgan Stanley, Baltimore, Maryland, United States, 21276
Overview
Wealth Management Institutional RIA Compliance Officer - Morgan Stanley Job ID: 76530 • Job Type: Full Time • Category: Finance • Education: Bachelor’s Degree (preferred) • Location: Hybrid remote in Baltimore, MD, United States • Posted: 2025-10-06 Job Description:
Wealth Management Institutional RIA Compliance Officer
role for
Morgan Stanley , located in Baltimore, MD, United States. This position supports compliance coverage and oversight of registered investment advisors (RIAs) that primarily provide advisory and consulting services to institutional retirement plan clients. The RIAs are part of the Wealth Management Institutional Consulting/Graystone business. The role may lead the investment advisory compliance due diligence process for future acquisitions and may back-up compliance coverage for related business lines. Responsibilities
Develop a comprehensive understanding of the institutional advisory and consulting services offered by the RIAs. Maintain and update the Compliance policies and procedures. Support the Chief Compliance Officer with the annual review of the RIA compliance program. Provide guidance and oversight of marketing, communications, and performance reports. Conduct monitoring checks and partner with the Compliance Testing function to validate policies and procedures are followed and effective. Maintain and administer the RIA Code of Ethics. Work with RIA Management, Institutional Infrastructure Solutions, and functional partners to ensure supervisory controls are in place and functioning as designed. Participate in the annual Compliance Risk Assessment and other compliance initiatives for the RIAs and the Institutional/Graystone business. Collaborate with stakeholders on new regulatory standards of care, including rulemaking analysis, policy development, training, disclosures, and supervisory controls. Assist in implementing regulatory standards such as SEC Regulation Best Interest and US Department of Labor fiduciary standards where applicable. Qualifications
5-10 years of registered investment advisor compliance experience, preferably in the institutional retirement space. Experience with the Investment Advisers Act and with Institutional Consulting; ERISA 3(38) vs. ERISA 3(21) is a plus. Experience with SEC Regulation Best Interest and DOL fiduciary standards is a plus. Ability to identify regulatory, conduct, and reputational risks and present practical solutions. Strong interpersonal, verbal and written communication skills; capable of collaborating with management and partners. Self-motivated with high standards of compliance coverage and support. Solid organizational skills and attention to detail; ability to work across multiple groups. Proficiency in Excel, PowerPoint, and SharePoint. Proximity to in-office attendance of 3 days/week. Compensation: For New York, base pay is typically between $110,000 and $190,000 per year at start, with additional compensation elements possible depending on role and company packages. Morgan Stanley is an equal opportunity employer and values diversity and inclusion. Keywords: Compliance, RIAs, Institutional Retirement, Morgan Stanley Open Date/Close Date:
Open ,
Closed Date: 2025-11-05
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Wealth Management Institutional RIA Compliance Officer - Morgan Stanley Job ID: 76530 • Job Type: Full Time • Category: Finance • Education: Bachelor’s Degree (preferred) • Location: Hybrid remote in Baltimore, MD, United States • Posted: 2025-10-06 Job Description:
Wealth Management Institutional RIA Compliance Officer
role for
Morgan Stanley , located in Baltimore, MD, United States. This position supports compliance coverage and oversight of registered investment advisors (RIAs) that primarily provide advisory and consulting services to institutional retirement plan clients. The RIAs are part of the Wealth Management Institutional Consulting/Graystone business. The role may lead the investment advisory compliance due diligence process for future acquisitions and may back-up compliance coverage for related business lines. Responsibilities
Develop a comprehensive understanding of the institutional advisory and consulting services offered by the RIAs. Maintain and update the Compliance policies and procedures. Support the Chief Compliance Officer with the annual review of the RIA compliance program. Provide guidance and oversight of marketing, communications, and performance reports. Conduct monitoring checks and partner with the Compliance Testing function to validate policies and procedures are followed and effective. Maintain and administer the RIA Code of Ethics. Work with RIA Management, Institutional Infrastructure Solutions, and functional partners to ensure supervisory controls are in place and functioning as designed. Participate in the annual Compliance Risk Assessment and other compliance initiatives for the RIAs and the Institutional/Graystone business. Collaborate with stakeholders on new regulatory standards of care, including rulemaking analysis, policy development, training, disclosures, and supervisory controls. Assist in implementing regulatory standards such as SEC Regulation Best Interest and US Department of Labor fiduciary standards where applicable. Qualifications
5-10 years of registered investment advisor compliance experience, preferably in the institutional retirement space. Experience with the Investment Advisers Act and with Institutional Consulting; ERISA 3(38) vs. ERISA 3(21) is a plus. Experience with SEC Regulation Best Interest and DOL fiduciary standards is a plus. Ability to identify regulatory, conduct, and reputational risks and present practical solutions. Strong interpersonal, verbal and written communication skills; capable of collaborating with management and partners. Self-motivated with high standards of compliance coverage and support. Solid organizational skills and attention to detail; ability to work across multiple groups. Proficiency in Excel, PowerPoint, and SharePoint. Proximity to in-office attendance of 3 days/week. Compensation: For New York, base pay is typically between $110,000 and $190,000 per year at start, with additional compensation elements possible depending on role and company packages. Morgan Stanley is an equal opportunity employer and values diversity and inclusion. Keywords: Compliance, RIAs, Institutional Retirement, Morgan Stanley Open Date/Close Date:
Open ,
Closed Date: 2025-11-05
#J-18808-Ljbffr