- Primary responsibility for all risk, supervisory, and compliance functions for the Market
- Communicates and facilitates any supervisory inquiry or process that requires escalation from the Market to the Regional Risk Officer
- Focuses on business ethics and regulatory and compliance practices
- Provides the coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the Market
- Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely
- Manages the Risk Officers within the Market to ensure consistent regulatory and compliance practices
- Ensures procedures are in place for self-audits.
- Monitors and implements procedures to manage all facets of risk, including data security, across the Market
- Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations
- Liaises with the Legal and Compliance Division with customer complaints and litigation
- Together with the Market Executive and Risk Officers, ensures appropriate supervisory coverage is maintained at all times across the Market as required by Firm policy.
- Oversees all responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market has procedures in place.
- Is responsible for the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
- Works with Market Executive and Risk Officers to monitor people risk, and ensures appropriate action is taken
- Responsible for proactive client contact within the Market in determining suitability and managing risk
- Active involvement with the region regarding matters presented to the Credit Committee
- Primary source for intelligence on risk in regard to clients and FAs
- Active involvement with margin and credit decisions
- Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance
- Together with the Risk Officers in the Market, facilitates the training of all personnel on Morgan Stanley Wealth Management compliance policies and procedures
- Assists in the review and on boarding of FA recruits
- Bachelor's degree required or equivalent education or experience
- Previous industry experience
- Active Series 3, 7, 8 (or 9 and 10), and 63, 65 (or 66)
- Other licenses as required for role or by management
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to prioritize and resolve complex problems and escalate as necessary
- Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
- Evidence of strong leadership capabilities or previous supervisory experience
- Ability to organize and prioritize workflow and assignments in a deadline oriented environment
- Ability to interact with Financial Advisors and clients
- Excellent judgment and the ability to be discreet in all matters
- Strong work ethic
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Senior Risk Officer - Birmingham, AL, United States - Morgan Stanley
Description
POSITION SUMMARY:
The Senior Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions related to the Market.
In conjunction with the Market Executive and other Risk Officers within the Market, the Senior Risk Officer has accountability in the Market for maintaining a consistent control environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.
The Senior Risk Officer keeps the Market Executive informed of significant matters within the Market and must determine when the Market Executive, other Branch Managers within the Market and/or Regional Risk Officer should be directly involved.
The Senior Risk Officer role is a non-revenue sharing position that has dual straight line reporting to the Market Executive and Associate Regional Risk Officer.
DUTIES and RESPONSIBILITIES:Surveillance and Supervision
Dual reporting:
Market Executive and Associate Regional Risk Officer
Direct reports:
EOE committed to diversifying its workforce.
M/F/D/V.
