Client Segment Risk Conduct, Controls & Governance - Control Design - Vice President

Morgan Stanley•Purchase, NY

1d•$115,000 - $190,000

About The Position

The Wealth Management Conduct, Controls & Governance team (“WM CCG”) within the Wealth Management Client Segment Risk organization is responsible for, among other functions, designing supervisory controls and processes to mitigate risks to clients and the Firm including, but not limited to, those arising from Financial Advisor (“FA”) sales practice misconduct and internal policy violations. The work CCG performs is in furtherance of the Firm’s discharge of its core values of putting clients first and doing the right thing. WM CCG is seeking to hire a Vice President to join the team focused on supervisory control design and implementation.

Requirements

Ten or more years of experience in Risk Management, Legal, Compliance or other roles in the broker-dealer or financial services industry which gives the candidate expertise in the supervision of sales practice conduct, product risk and investment risk enabling them to effectively lead control design assessments and enhancements
Strong verbal and written communication skills, including presentation experience
Strong quantitative and analytical skills
Strong problem-solving and business judgment
Strong organizational, planning and time management skills
Ability and willingness to voice ideas, in addition to following instructions
Ability to lead discussions including with more senior/experienced participants
High motivation and energy with ability to develop strong working relationships
A calm demeanor and ability to work on multiple tasks at one time
Self-starter with a strong attention to detail
Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
Proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau
Bachelor's Degree or equivalent

Nice To Haves

Series 7, 66 (or 63 & 65), and 24 (or 9 and 10) preferred

Responsibilities

Working with senior leaders on the CCG team to further enhance MSWM’s supervisory control framework including but not limited to:
Assessment of the efficiency and effectiveness of existing controls and processes
Identification of enhancements to controls including AI solutions where appropriate
Prioritization of control enhancement initiatives
Implementation of control enhancements
Coordination with key stakeholders in Technology, Platforms Legal, Compliance, WM Risk and other groups in furtherance of the design and implementing of control enhancements