SouthJordanRecruiter Since 2001
the smart solution for South Jordan jobs

Wealth Management Risk - Central Review Unit Risk Officer

Company: Morgan Stanley
Location: South Jordan
Posted on: June 6, 2021

Job Description:

Morgan Stanley ("MS") is a global financial services firm that conducts its business through three principal business segments-Institutional Securities, Wealth Management, and Asset Management. Wealth Management provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit & lending, deposits & cash management, annuities, insurance, retirement and trust services.

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, Underutilization in Advisory Accounts, and Suitability Reviews
  • Being the contact point for Field Risk
  • Conduct monthly calls with the Complexes you support
  • Providing reporting and trend analysis
  • 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
  • Strong attention to detail
  • Ability to identify issues and trends in order 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

  • 5 -10 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

Keywords: Morgan Stanley, South Jordan , Wealth Management Risk - Central Review Unit Risk Officer, Other , South Jordan, Utah

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category
within


Log In or Create An Account

Get the latest Utah jobs by following @recnetUT on Twitter!

South Jordan RSS job feeds