Central Review Unit Risk Officer - Wealth Management Client Segment jobs in United States
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Morgan Stanley · 2 weeks ago

Central Review Unit Risk Officer - Wealth Management Client Segment

positionSouth Jordan, UT
timeFull-time
remoteOnsite
senioritySenior Level
date5+ years exp

Morgan Stanley is a leading global financial services firm dedicated to providing innovative solutions to clients. The Central Review Unit Risk Officer will assess and manage risks associated with Financial Advisors within Wealth Management, overseeing risk controls and facilitating communication with Field Risk.

Asset ManagementFinanceFinancial ServicesLending
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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 analyticsIndustry experienceCommunication skillsOrganizational skillsProblem-solvingProactive approachIndependent capabilitiesSupervisory integrityTrend analysisAlternative InvestmentsExcel proficiencySeries 7 & 66Series 9Flexibility

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

Morgan Stanley

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Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
dateFounded in 1935
location
New York, New York, USA
people-size10001+ employees
web-link
http://www.morganstanley.com

Funding

Current Stage
Public Company
Total Funding
unknown
1997-02-05IPO

Leadership Team

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James Gorman
Chairman and CEO
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Ted Pick
Chief Executive Officer (CEO)

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