Central Review Unit Risk Officer / Products Team
Central Review Unit Risk Officer / Products Team
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1 Vacancy
Job Description
Wealth Management Client Segment Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The Central Review Unit (CRU) is a team of centralized Risk Officers that handles a suite of controls that surveil potential sales practice suitability and regulatory focus issues.
The Products Team is a new and growing team within the CRU. Currently they handle Alternative Investment Order Approvals and certain trade supervision controls. This team will be taking on more and growing so the ideal candidate will be very comfortable with change and very proactive in sharing ideas and helping to build a strong culture of collaboration and innovation.
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 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
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
Strong technology savvy strongly preferred advanced experience and knowledge of excel and other data analytics tools
Experience
5 -10 years of industry experience
Risk or compliance experience
Advanced understanding of Alternative Investments and other complex products a plus
Education
Bachelors 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 60 days of hire
Other Qualifications
External candidates must:
o Be authorized to work in the U.S. without restriction as to duration
o Pass any applicable pre-employment tests
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll find an opportunity to work alongside the best and the brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe please copy and paste into your browser.
Morgan Stanleys 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).
Required Experience:
Unclear Seniority
Employment Type
Full-Time
