Senior Complex Risk Officer - Pensacola, United States - Morgan Stanley

Morgan Stanley Pensacola, United States

3 weeks ago

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:

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.

Risk Management/Compliance/Legal:

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

Administrative

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

Qualifications:

Education and/or Experience:

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/Skills:

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

Reports to:

Dual reporting: Market Executive and Associate Regional Risk Officer

Direct reports:

Risk Officers

Morgan Stanley

EOE committed to diversifying its workforce

Senior Complex Risk Officer

5 days ago

Morgan Stanley Pensacola, United States

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 t ...
Operational Risk Analyst

3 weeks ago

Idexcel Pensacola, United States

Job Title: Junior Operational Risk Analyst I · Location: Vienna, VA/Pensacola, FL · Duration: Long Term · In-office requirement: 2x a week or 8x a month · Top 3 Required Skills: · Technical analysis, Data analysis, Communication, Risk assessment and Critical thinking · Descriptio ...
Business Analyst

6 days ago

Zillion Technologies, Inc. Pensacola, United States

US CITIZENS / Green Card Holders / EAD Green Card Holders ONLY · NO THIRD PARTIES PLS · THIS IS A DIRECT CLIENT REQUIREMENT · Those authorized to work without sponsorship are encouraged to apply please. · Reach Saakshi Sahni · Email: saakshizilliontechnologies(dot)com // · Bus ...
Professional Fee Abstractor

3 weeks ago

Nemours Pensacola, United States OTHER

Nemours is seeking a Professional Fee Abstractor (Coder), Full-Time, to join our Nemours Children's Health team. · Assesses each professional session ( claim) for all documented conditions and application of criteria ( monitoring, evaluation, assessment, treatment) to accurately ...
New CNAs

4 weeks ago

Ascension Pensacola, United States Full time, Part time

Ascension has provided thousands of associates and caregivers a rewarding career in healthcare since 1902. We strive to expand access to high-quality, low-cost, person-centered care and services for all. At Sacred Heart Cancer Center Administrative Offices, caregivers can find bo ...
Health and Safety Supervisor

4 weeks ago

ECC Pensacola, United States

Description · The Health and Safety Supervisor will be assigned to a large construction project on-site at Misawa Air Base, Japan . The project is starting in the Spring of 2024 and is anticipated to last approximately 3 years . Experience on US Federal construction projects ...
Medical Case Manager III

3 weeks ago

CorVel Corporation Pensacola, United States OTHER

CorVel Corporation is hiring a caring, self-motivated, energetic and independent registered nurse to fill a Medical Case Manager position in the Panama City/Pensacola FL area. · Work from home, and on the road. Full time or Part time available. · As a Medical Case Manager you wi ...
Clinical Assessment Specialist

2 weeks ago

LifeView Group Pensacola, United States Full time

About Lakeview Center · Lakeview Center provides comprehensive behavioral health care to adults and children with mental illnesses, drug and alcohol dependencies and intellectual disabilities. Across Northwest Florida, our services range from residential treatment to outpatient ...
Health Care Fraud Investigator

3 weeks ago

KMRG, LLC Pensacola, United States

ROLE · We are seeking an experienced Health Care Fraud Investigator to support the U.S. Attorney's Office (USAO) Northern District of Florida (NDFL). Your scope of work focuses on criminal and civil investigations of healthcare matters. · This is a full-time opportunity in which ...
ACI Certified Field Technician I

4 weeks ago

RCG Moody International Limited c/- Intertek Pensacola, United States

ACI Certified Field Technician I - Construction Materials Testing · Professional Service Industries, Inc. (Intertek-PSI), is searching for an ACI Field Technician I to join our Building & Constructionteam in our Pensacola, Florida office. This is a fantastic opportunity to grow a ...
Driver-Class A CDL

4 days ago

Builders FirstSource Pensacola, United States

IT Business Analyst II IT-Service Management · Req #10336Corp-Dallas Connection Dr , Irving, Texas, United States of AmericaThis job posting is no longer available Job Description · Posted Friday, February 22, 2019 at 12:00 AM PURPOSE: · Under minimal supervision, translate ...
Administrative Assistant

4 weeks ago

Indian Rivers Behavioral Health Brent, United States Finance

Administrative Assistant · Outpatient Office · Full-Time; 40 hours per week; · Monday-Thursday; 7:30am-5:00pm; Friday; 8:00am-12:00pm · -Brent, AL - · COMPETENCIES · Must possess a thorough understanding of the use of electronic health records and Microsoft Office programs. · Ma ...
Project Civil Engineer

3 weeks ago

RCG Moody International Limited c/- Intertek Pensacola, United States

Project Engineer - Construction · Professional Service Industries, Inc. (Intertek-PSI) is searching for a Project Engineer - Construction to join our Building & Constructionteam in our Pensacola, Florida office. This is a fantastic opportunity to grow a versatile career in the ar ...
Structural Inspector

3 weeks ago

RCG Moody International Limited c/- Intertek Pensacola, United States

Structural Inspector / CWI · Professional Service Industries, Inc. (Intertek-PSI), is searching for a Structural Inspector / CWI to join our Building & Constructionteam in our Pensacola, Florida office. This is a fantastic opportunity to grow a versatile career in the architectur ...
Court Security Officer

3 weeks ago

Constellis Pensacola, United States Part time

. · POSITION SUMMARY · A Court Security Officer (CSO) is a specialized security position providing protective services at or around United State Federal Court Houses or other areas as assigned under a contract to the U.S. Marshals Service (USMS). CSO's in this classification gene ...
Service Response Manager

2 weeks ago

ASRC Federal Pensacola, United States

ARTS is seeking a seasoned IT professional and leader for the role of the Unified Cybersecurity Situational Awareness (UCSA) Service Response Manager (SRM) in Pensacola, Florida. The SRM is responsible for managing a 24/7/365 Information Technology Operations Center providing Tie ...
Director, Enterprise Risk Management

2 weeks ago

Ascend Performance Materials Pensacola, United States

POSITION OVERVIEW · Ascend Performance Materials is the premium provider of high-quality chemicals, fibers and plastics. With world scale integrated manufacturing facilities, we are able to develop new products from our core technologies and provide flexibility to respond to the ...
Floor Leader

2 weeks ago

The Buckle, Inc. Pensacola, United States Full time

Summary · The Leader in Training (LIT) and Floor Leader position's primary responsibility is to fulfill our mission statement: "To create the most enjoyable shopping experience possible for our Guests." The LIT and Floor Leader performs a variety of sales, merchandising and oper ...
Reliability Manager

2 weeks ago

Ascend Performance Materials Pensacola, United States Full time

POSITION OVERVIEW · Ascend Performance Materials is the premium provider of high-quality chemicals, fibers and plastics. With world scale integrated manufacturing facilities, we are able to develop new products from our core technologies and provide flexibility to respond to the ...
Assistant to VP

3 weeks ago

Navy Federal Credit Union Pensacola, FL, United States

The Assistant Vice President for ETS Risk Governance and Reporting is a direct report to the Vice President of Risk for Navy Federal's Information Technology Department. The position supports the broader Enterprise Technology Services (ETS) Risk mission to effectively manage risk ...