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Bank Marketing Compliance Officer

Posted on Dec 8, 2018 by Morgan Stanley USA

New York, NY 10001
3 Dec 2018
Annual Salary
Position Description
Morgan Stanley's Bank Group Compliance ("BGC") Department seeks a Marketing Compliance Officer to focus on marketing and advertising compliance reviews for cash management and lending products offered by Morgan Stanley's U.S. Banks. This position will cover key areas of consumer protection and regulatory focus related to marketing and advertising. This includes, but is not limited to, coordinating and executing the review and approval of marketing and advertising materials for Morgan Stanley Wealth Management clients, internal educational materials, and general product-related communications. This candidate will also provide subject matter expertise for business and compliance initiatives related to marketing and advertising.

Primary Responsibilities
· Review, analyze, and approve marketing and advertising materials, training materials, and communications related to the Banks' deposit and lending products. This includes: (1) assessing compliance with U.S. banking regulations, internal policy, and applicable guidance from management and the Banks' regulators (2) engaging subject matter experts for assistance with reviews, as appropriate; (3) communicating and documenting guidance and decisions resulting from the review.
· Key compliance contact for matters related to BGC's review of marketing and advertising materials.
· Understand U.S. banking regulatory requirements that apply to marketing and advertising, with a key focus on Fair Lending and UDAAP.
· Maintain a solid partnership with the Private Banking Group Legal Department and Wealth Management Compliance Department.
· Collaborate with the Private Banking Group's Business Development areas, Product Development, Marketing, and control / support functions to evaluate current processes and identify / pursue opportunities for improvement.
· Participate in training and education for other Compliance personnel as well as business unit personnel;
· Participate in Compliance Department initiatives including drafting and reviewing training materials and procedures relating to marketing and advertising compliance.
· Assist with special projects, as requested.


Skills required (essential)
· Bachelor degree and at least 5 years of relevant industry experience or business experience.
· Experience with consumer protection rules and regulations, including but not limited to UDAAP and Fair Lending.
· Demonstrated ability to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations.
· Proven ability to develop and maintain strong, positive relationships with a variety of business lines and support functions.
· Experience working on, or supporting, marketing or sales-related projects / strategies.
· Excellent oral and written communication skills.
· Ability to operate effectively and independently in a fast-paced, changing environment.

Skills Desired
· Marketing compliance experience.
· Strong work ethic and drive.
· Strong sense of integrity and ethical leadership
· Strong team-orientation.
· Knowledge of lending and deposit products.
Bank Marketing Compliance Officer

Reference: 598336591