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.
National Business (Field) Risk is hiring a Heightened Supervision Committee Coordinator to join the Field Risk Strategic Management group to manage the Heightened Supervision Committee. The role will involve gathering and creating materials for review by the Heightened Supervision Committee members on a bi-weekly basis from various regulatory and internal referrals. The Coordinator will be responsible for organizing the meetings as well as ensuring that all individuals who are put before the committee are reviewed in a timely manner. The HSC Coordinator will report into the HSC Coordinator Supervisor and will work with various partners in Compliance, Registration, Legal and Risk so that each individual presented to the Heightened Supervision Committee is reviewed in order to determine whether Heightened Supervision is required.
Primary Responsibilities :
This position facilitates the Heightened Supervision (HS) program, which encompasses both Firm-Imposed as well as State/Regulatory-Imposed HS. This is achieved through utilization of a Heightened Supervision Review Committee (the "Committee"). The Committee reviews current Financial Advisors and financial advisor recruits who meet predetermined criteria to determine whether heightened supervision is appropriate or if the firm should proceed with the hiring process.
The role will coordinate with members of Compliance, Legal and Risk on a regular basis to gather information for the committee reviews. They will also review various sources to determine if a Financial Advisor meets the existing criteria for "Committee" review. As the Heightened Supervision Coordinator, you are responsible for maintaining and communicating all Heightened Supervision information, historical or current to various groups within the Firm.
Required Qualifications :
• Ability to work well with colleagues across a diverse range of working groups
• Excellent problem-solving and business judgment
• Strong organizational, planning, project and time management skills
• Strong written and oral communication skills in order to assist with gathering, drafting and editing of training materials on behalf of the WM Risk organization for the Field Risk Officers.
• Ability and willingness to voice ideas, identify problems, in addition to following direction independently and as part of a team.
• Organized, structured, detail oriented, pro-active and self-sufficient
• Able to multi-task, yet pay strong attention to detail
• Excellent written, verbal and presentation skills
• Ability to demonstrate leadership and accountability
• Self-starter with strong project management capabilities and an attention to detail
• Advanced proficiency in MS Office, PowerPoint and Excel
• Bachelor's Degree; or relevant experience with prior experience in WM Field Risk, Service, Compliance, or Operations a plus
A little about us:
Since its founding in 1935, Morgan Stanley and its people have helped redefine the meaning of financial services.