Central Review Unit Risk Officer - Wealth Management Client Segment jobs in United States
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E*TRADE from Morgan Stanley ยท 2 months ago

Central Review Unit Risk Officer - Wealth Management Client Segment

positionSouth Jordan, Utah, United States of America
timeFull-time
remoteOnsite
senioritySenior Level
date5+ years exp

E*TRADE from Morgan Stanley is seeking a Central Review Unit Risk Officer for their Wealth Management Client Segment Risk team. This role involves assessing and managing risks associated with Financial Advisors, overseeing risk controls, and ensuring regulatory compliance.

BankingFinanceFinancial Services
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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

Qualification

Risk managementCompliance knowledgeData analyticsInvestigative skillsCommunication skillsOrganizational skillsProactive approachSupervisory integrityAlternative Investments knowledgeExcel proficiencyWorkload managementProblem-solvingFlexibilityTeam collaboration

Required

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
5-10 years of industry experience, with a focus on risk or compliance
Bachelor's degree or equivalent work experience
Active Series 7 & 66 (or 65 and 63) required
External candidates must be authorized to work in the U.S. without restrictions on duration
Successful completion of any applicable pre-employment tests

Preferred

Series 9 and 10 (or 8) preferred, or the ability to obtain within 60 days of hire
Advanced understanding of Alternative Investments and complex products is advantageous

Benefits

Some of the most attractive and comprehensive employee benefits and perks in the industry

Company

E*TRADE from Morgan Stanley

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E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry.
dateFounded in 1982
location
Arlington, Virginia, USA
people-size1001-5000 employees
web-link
https://us.etrade.com/home

Funding

Current Stage
Public Company
Total Funding
unknown
2020-02-20Acquired
1996-08-16IPO

Leadership Team

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Julia Miller
Director and Customer Marketing
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