Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.
The Field Service team is part of the WM Client Segments division. One of the primary goals of the Field Service team is to ensure that service professionals become ambassadors of Morgan Stanley. Field Service champions the service pillar of the Modern Wealth Management strategy by elevating the client experience. The team contributes its success to the strong partnerships it leverages across the Firm, the talented team members as well as the sharp focus on execution. Functions within the Field Service team include talent management, business management, risk and control, learning and development partnerships, training and communications partnerships, field liaison and feedback along with coverage of products and platforms.
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This position will join the Supervisory Efficiency & Service Platform Oversight team within the Field Service organization to support a variety of governance processes and strategic initiatives related to employee oversight, policy support and monitoring, as well as the design of metrics, processes, and controls to identify and supervise conduct risk analysis of field service roles. The role will work closely with a broad stakeholder base within Wealth Management including Regional Leadership Teams, Legal, Compliance, WM Risk, WM Client Segments Risk, Fraud Operations and other business partners including, but not limited to, the broader Field Service and WM Client Segments organization. The role will focus on all aspects of the risk and control liaison functions for the service organization such as engagement with Regional Leadership regarding the Risk and Control Self-Assessment, reassessing policies and procedures periodically with various business units, as well as performing administrative reporting functions for timekeeping controls, registration reporting and exception reviews.
Primary Responsibilities:
- Drive the development and provide oversight for Field Service's supervisory framework, inclusive of technology enhancements, new policy and procedure development and ongoing monitor reporting
- Support the Field Service Employee Supervision Committee process and execute all governance committee responsibilities - coordination of committee meeting agendas, materials and execution of post- meeting procedures
- Design and oversight of conduct supervisory controls and metrics
- Maintain the role as a dedicated lead on policy updates that will directly impact the Field Service organization as it relates to supervisory service professionals and their daily responsibilities
- Support the Risk & Control Self-Assessment for the Field Service Organization by maintaining the accuracy of the control profile and participating in annual testing program to ensure the effectiveness of existing controls
- Participate in reviews of risk and fraud escalations to evaluate training needs for the field as well as support the development of policy and procedure improvements in order to maintain a secure environment for our clients and the Firm
Qualifications:
- Bachelor's degree required. 5+ years of financial services experience (Field/Branch a plus); previous Wealth Management experience preferred.
- Any experience in risk, compliance or controls preferred
- Prior project management or governance experience preferred
- Ability to develop strong relationships
- Highly motivated with a strong work ethic and a will to succeed
- Strong written and verbal communication skill in both business and technical contexts
- Strong analytical, process-oriented, problem-solving/issues-resolution skill
- Strong organizational skills, planning and time management skills
- Self-motivated and able to work in a high activity environment where the sharing of ideas and talents is encouraged and welcomed
- Ability to work independently in a multi-tasking, deadline-driven environment and execute with high quality
- Proficiency in Microsoft Office, PowerPoint, Excel, v-lookup
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).
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 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.
We're committed to bringing passion and customer focus to the business.
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).