Central Review Unit Risk Officer – Assistant Vice President

10 أغسطس، 2023

0 0 2 دقائق

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

1-3 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

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

Other Qualifications

External candidates must:
Be authorized to work in the U.S. without restriction as to duration
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).

Posting Date

Aug 9, 2023

Primary Location

Americas-United States of America-Utah-South Jordan

Education Level

Bachelor's Degree

Job

Wealth Management

Employment Type

Full Time

Job Level