Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Client Segment Organization, within Morgan Stanley Wealth Management, is comprised of various client channels, providing services to both individual and institutional Clients. Some of the services include Financial Management, Equity Stock Plans, Retirement Plans, Financial Wellness, Marketing, and Reinvestment.
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Position Summary
The Client Segment Risk (CSR) Business Control Unit (BCU) Team is a first line of defense function responsible for overseeing the operational risks and controls of Wealth Management's Client Segments business unit. This team partners with business stakeholders, second and third lines of defense to assess and report on operational risks, implement control processes and procedures, manage audits and exams, oversee vendor risks, manage business continuity plans, and conduct the annual Risk and Control Self-Assessment (RCSA).
The CSR BCU Centralized Team acts as a shared / utility function across supporting all Client Segment Business Units, as well as a broader CSR Risk Organization.
> The team is looking for a dynamic individual contributor to support the Employee Conduct Risk program. This position is responsible for the maintenance and delivery of program components, including data management, communications, and reporting.
Responsibilities Include
> Provide key support in monitoring periodic employee conduct risk management activities and establishing/enhancing processes and tools to monitor these activities, including but not limited to:
o Monthly licensing processes (e.g., creating, updating, and analyzing reports, identifying month-over-month exceptions, preparing email templates for targeted population)
o Annual and ad-hoc role review data updates
o Tracking quarterly workflow submissions from Registered Supervisors and updating a tracking file
o Periodic supervisory alignment verification
o Monitoring Continuing Education (CE) progress and creating CE reports for distribution before and after the Firm's deadline
o Ongoing wall-crossing data management (e.g., entering data to the Control Group's system, updating tracking files, creating reports)
o Weekly Mandatory Enforced Vacation data management
> Assist with SharePoint and Teams recordkeeping cleanup and management.
> Assist with ad hoc data reconciliation, presentation decks; or clean-up as requested.
> Contribute to ongoing and new projects to establish and maintain strong employee risk processes and support appropriate employee risk governance using project management best practices
Knowledge, Skills, and Abilities
> Strong data analytical skills required, with proficiency in PowerPoint and Excel
> Effective written and verbal communications skills
> Ability to thoroughly investigate issues and trends with a focused attention to detail in order to provide comprehensive solutions and remedies
> Strong project management and organizational skills - ability to multitask, prioritize, and work under tight deadlines will be key in balancing daily deliverables and strategic projects
> Understanding and/or aptitude to learn about the regulatory rules that govern the conduct of Financial Advisors, investment products, portfolio advisory platforms, and banking services
> Thrives in a fast-paced environment and takes ownership of their responsibilities to ensure partner success and satisfaction
> Technically proficient and comfortable learning new programs/systems
Experience
> 3-5 years' experience supporting corporate business processes/programs
> Experience with risk or compliance a plus
Education
> Bachelor's/MBA degree or equivalent work experience