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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. Morgan Stanley Wealth Management (MSWM) has over $2 trillion under management and is one of the world’s largest networks of Financial Advisors.

The Wealth Management Platforms organization manages industry-leading platforms across all Wealth Management channels and client segments to provide a unified digital experience, unlock growth and deliver efficiencies for Advisors, Clients and Institutions.

 

The WM Platforms first line Business Control Unit (BCU) Risk Team is responsible for overseeing the operational risk and controls of Wealth Management’s New Account Opening (NAO) and onboarding processes, certain systemic platforms used in daily branch workflow processing, certain aspects of asset movement, branch digitization and centralization projects, as well as platforms and services offered to our Digital Direct clients.

 

This team assesses risks, implements control processes and procedures, assists in managing audits and exams, partakes in the annual Risk and Control Self-Assessment (RCSA), tracks and reports on operational incidents and provides the business with risk consultancy and guidance in the execution of business-as-usual tasks.

 

This role in WM Platforms Risk will primarily be responsible for the following:

 

·       Program Management oversight and support for a number of high-profile projects, including those driven by Regulatory requirements, Compliance or Internal Audit enhancements.

 

·       Provide Risk support and coverage for 1st Line BCU in areas such as Client Onboarding, workflow/technology enhancements, and Asset Movement.

 

·       Assist in the management of, and act as the central point of contact for, Internal Audit, Compliance, and external Regulatory reviews for Platforms Business Units to ensure coordination of informational requests with impacted areas and timely responsiveness.

 

·       Lead and participate in Audit preparation prior to kickoff.

 

·       Assist in drafting final audit reports, inclusive of language editing and creation of action plans based on potential findings.

 

·       Manage various Issues and Action Plans through to completion, ensuring engagement and accountability of stakeholders, as well as engagement with Audit and Compliance regarding status and progress.

 

• Collaborate with Platforms Business Units regarding the Risk and Control Self-Assessment (RCSA), operational incident reporting and potential fraud matters.

 

• Develop metrics, presentations, reports and key risk indicators (KRIs) to assess and present informative data to the business, and other stakeholders.

 

• Participate in the development and execution of a comprehensive entitlements framework, as necessary, to ensure protection of, and justification for, systems access.

 

• Obtain a thorough understanding of various aspects of the Platforms Business Units and their respective initiatives to advise on operational risk and control environment.

 

• Represent Platforms Risk in meetings with business, operations, technology and risk management stakeholders, as necessary.

• Minimum of 5 years of experience in financial services risk management, Compliance, Risk, Control or Audit roles, with Wealth Management experience preferred

 

• Understanding of the Wealth Management business

 

 

 Required Skills / Qualifications:

 

·  Strong leadership skills to effectively manage several key priorities as well as to work independently as necessary.

 

• Demonstrate flexibility in a changing business environment and in dynamically deploying skills as needed
 

• Ability to lead and work closely with various senior business, functional, and risk management stakeholders
 

• Strong written, verbal communication and presentation skills

               
• Strong critical thinking skills and ability to work in a fast-paced environment

 

• Ability to collaborate and to promote teamwork
 

·  Strong attention to detail and work ethic

Desired Skills / Qualifications:

·       Strong PowerPoint and Excel skills

 

 

Expected base pay rates for the role will be between $110,000 and $185,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

 

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).