WM Field Risk is seeking to hire an Associate Vice President or Vice President in our Strategic Management group to assist with management and implementation of audit, targeted assessment and branch exam remediations, as well as management and implementation of supervisory control assessments, supervisory control enhancements and additional strategic initiatives implemented by WM Field Risk. The role will involve collecting and analyzing data and information, creating reports and metrics for Senior Risk, Field and Executive management, participating in the development and implementation of both supervisory controls and action plans for remediations arising from internal audits, branch exams and targeted assessments, among other things. The role will involve working with a broad range of stakeholders and business partners within Wealth Management including other parts of Risk, Business Units, Field Management, Technology and Operations, Service and Compliance, among others, across the Firm.
Primary Responsibilities :
This person will report to an ED Team Manager, who reports to the Head of Field Risk (MD). The individual will work closely with the Team Manager and other team members to drive strategic projects and initiatives, devise and report on risk metrics and develop presentations to Sr. Management. The candidate must have strong analytical and communication skills with the ability to take complex information and simplify it for effective communication and presentation to Sr. Management. Individual must be a self-starter, a problem-solver and creative, with a strong commitment to Firm and client guardianship. The individual must be able to work in a fast-paced and dynamic environment, and become involved in a diverse set of issues and have a direct impact on the future success of the group.
• 5 years of financial services experience, previous Morgan Stanley Wealth Management experience a plus
• Prior experience with Audits, Branch Exams, and/or Risk and Control Self-Assessments (RCSA) a must
• Familiarity with and/or strong aptitude for basic risk and compliance principles
• Familiarity with or strong aptitude for WM investment products and related supervisory processes
• Prior Field (Risk or Service), Business Unit, Field Management, Audit, Compliance, Legal or Operations experience a plus
• Strong analytical skills
• Advanced proficiency in MS Office, PowerPoint, Excel, VISIO, Access and v-lookups
• Ability to work well with colleagues, including senior colleagues, across a diverse range of working groups in a fast-paced environment
• Ability to adapt to a fast-paced and demanding work environment
• Excellent problem-solving and business judgment
• Strong organizational, planning and time management skills
• Strong written and oral communication skills
• Ability and willingness to voice ideas, in addition to following instructions
• Self-starter with strong project management capabilities and an attention to detail
• Series 7 and 63, 9 and 10 (or 24) preferred
A little about us:
Since its founding in 1935, Morgan Stanley and its people have helped redefine the meaning of financial services.