- Must have an active Series 7 & 66 (or 65 and 63)
- 9 and 10 (or 8) or the ability to obtain the 9 and 10 within 30 days of hire
- External candidates must:
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M S CO South Jordan, United States: · Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from mo ...
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Risk Officer: Central Review Unit
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Morgan Stanley South Jordan, United StatesMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more th ...
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Risk Officer: Central Review Unit - South Jordan, United States - Morgan Stanley
Description
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Wealth Management Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The CRU Risk Officer provides centralized risk oversight of the Wealth Management Financial Advisors, ensuring consistency in both the review and resolution of potential sales practice, suitability, and regulatory focus issues. This role involves working on complex risk matters and requires a high degree of analytical skills; the ideal candidate will be a self-starter with a strong business and risk analysis acumen.
Risk Officer Responsibilities Include:
In depth analysis of a suite of controls that cover many areas of Risk, including but not limited to: Trade Supervision, appropriate use of Advisory Accounts, and Suitability Reviews
Being the contact point for Field Risk
Conduct monthly calls with the Field Branches you support
Providing reporting and trend analysis of what you are seeing in the risk reviews you conduct
Serving as an escalation point for issues and questions from the field
Providing coverage on an as-needed basis
Knowledge, Skills, and Abilities
Ability to work productively and efficiently while being very autonomous
Ability to thoroughly investigate and problem solve; to see an assignment through from conception to completion
Knowledge of SEC, Finra and firm compliance policies
Effective written and verbal communication skills
Strong attention to detail
Ability to identify issues and trends to provide recommended comprehensive solutions
Ability to organize and prioritize work to meet strict deadlines
Ability to problem solve independently
Ability to handle large workloads without compromising the integrity of the supervision
Must be pro-active and own workload and day
Ability to evaluate and understand the full picture and risk implications of the supervision conducted
Flexible, must be able to manage a diverse, heavy and ever-changing workload
Experience
5 -10 years of industry experience
Risk or compliance experience strongly preferred
Experience in supervision a plus
Education
Bachelor's degree or equivalent work experience
Licenses and Registrations:
o Pass any applicable pre-employment tests
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
