Central Review Unit Risk Officer - Wealth Management Client Segment job opportunity at Morgan Stanley.

_{More Than 30 Days Ago} bot

Morgan Stanley Central Review Unit Risk Officer - Wealth Management Client Segment

Experience: 10-years

Pattern: full-time

Country:

Apply Now

Salary:

Status:

Job

Copy Link Report

Associate

South Jordan, ..........United States Of America

Join our Wealth Management Client Segment Risk team, an integral in-business risk unit dedicated to assessing and managing risks associated with Financial Advisors within Wealth Management. The Central Review Unit (CRU) comprises centralized Risk Officers who oversee a comprehensive suite of controls to monitor potential sales practices, suitability, and regulatory compliance issues. Key Responsibilities: Conduct thorough analyses of various risk controls, including Trade Supervision, Advisory Account usage, and Suitability Reviews. Serve as the primary contact for Field Risk, facilitating communication and support. Lead monthly calls with the Field Branches under your purview. Deliver detailed reporting and trend analysis based on risk reviews. Act as an escalation point for field-related issues and inquiries. Provide coverage and support as needed. Qualifications: Knowledge, Skills, and Abilities: Strong investigative and problem-solving skills, with the ability to manage tasks from start to finish. Familiarity with SEC, FINRA, and firm compliance policies. Excellent written and verbal communication skills. Proficiency in identifying issues and trends, offering comprehensive solutions. Strong organizational skills to prioritize tasks and meet deadlines. Independent problem-solving capabilities. Capacity to manage large workloads while maintaining supervision integrity. Proactive approach to managing workload and daily tasks. Ability to assess the broader risk implications of supervisory activities. Flexibility to handle a diverse and dynamic workload. Advanced technological proficiency, particularly in Excel and data analytics tools. Experience: 5-10 years of industry experience, with a focus on risk or compliance. Advanced understanding of Alternative Investments and complex products is advantageous. Education: Bachelor’s degree or equivalent work experience. Licenses and Registrations: Active Series 7 & 66 (or 65 and 63) required. Series 9 and 10 (or 8) preferred, or the ability to obtain within 60 days of hire. Other Qualifications: External candidates must be authorized to work in the U.S. without restrictions on duration. Successful completion of 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 - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll 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. There’s 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 https://www.morganstanley.com/about-us/global-offices into your browser. 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).

Other Ai Matches

Sr UiPath RPA Developer Applicants are expected to have a solid experience in handling Job related tasks

Cyber Security Audit, Director, Technical Specialist Applicants are expected to have a solid experience in handling Director, Technical Specialist related tasks

Lead Low Latency Electronic Trading Engineer - VP Applicants are expected to have a solid experience in handling Job related tasks

Registered Client Service Associate Applicants are expected to have a solid experience in handling Job related tasks

Client Service Associate Applicants are expected to have a solid experience in handling Job related tasks

Registered Client Service Associate Applicants are expected to have a solid experience in handling Job related tasks

Registered Client Relationship Analyst Applicants are expected to have a solid experience in handling Job related tasks

FXEM COO Support, Manager/ Senior Manager, Fixed Income Division Applicants are expected to have a solid experience in handling Manager/ Senior Manager, Fixed Income Division related tasks

Senior Investor Oversight Risk Group: Vice President Applicants are expected to have a solid experience in handling Job related tasks

Private Banker Applicants are expected to have a solid experience in handling Job related tasks

Sr. Associate, Marketing Applicants are expected to have a solid experience in handling Marketing related tasks

Credit Risk Management – Fixed Income Division Secured Lending – Commercial Real Estate, Vice President Applicants are expected to have a solid experience in handling Vice President related tasks

Director - Crypto Risk Coverage Applicants are expected to have a solid experience in handling Job related tasks

Python Full stack Developer_ Director_ Infrastructure Production Management & Reliability Engineering Applicants are expected to have a solid experience in handling Job related tasks

Global Investment Office, Portfolio Manager UHNW Team, Vice President Applicants are expected to have a solid experience in handling Portfolio Manager UHNW Team, Vice President related tasks

Investment Banking Healthcare Vice Presidents – New York Applicants are expected to have a solid experience in handling Job related tasks

Internal Sales Associate Applicants are expected to have a solid experience in handling Job related tasks

Registered Client Service Associate Applicants are expected to have a solid experience in handling Job related tasks

Senior Private Side Compliance Officer, Executive Director - Legal & Compliance Applicants are expected to have a solid experience in handling Executive Director - Legal & Compliance related tasks

Operations Director/AVP - Portfolio Accounting Applicants are expected to have a solid experience in handling Job related tasks

Corporate Treasury Forecasting and Planning (TFP) - AVP Applicants are expected to have a solid experience in handling Job related tasks

Service Desk Site Manager Applicants are expected to have a solid experience in handling Job related tasks

Corporate Treasury Capital Markets, US Bank Funding - Executive Director Applicants are expected to have a solid experience in handling US Bank Funding - Executive Director related tasks

Central Review Unit Risk Officer - Wealth Management Client Segment job opportunity at Morgan Stanley.

Saved Jobs

No Job Saved

Other Ai Matches