PWM Complex Risk Officer

Local Jobs Morgan Stanley
  • United States, San Francisco, CA View on Map
  • Post Date: June 18, 2020
  • Apply Before : July 18, 2020
  • Share:

Job Description

PWM Complex Risk Officer

Job Number:

3153187

POSTING DATE: Jun 15, 2020
PRIMARY LOCATION: Americas-United States of America-California-San Francisco
EDUCATION LEVEL: Refer to Position Description
JOB: Wealth Management
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Professional

DESCRIPTION

POSITION SUMMARY:
The Private Wealth Management Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Complex Risk Officer, the PWM Complex Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The PWM Complex Risk Officer keeps the Senior Complex Risk Officer informed of significant matters. The PWM Complex Risk Officer role is a non-revenue sharing position that has dual reporting to the Complex Manager and Senior Complex Risk Officer.

DUTIES and RESPONSIBILITIES:

Surveillance and Supervision
Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
Facilitates any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk Officer
Focuses on business ethics and regulatory and compliance practices
Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
Monitors and implements procedures to manage all facets of risk, including data security
Facilitates regular and consistent communication of Morgan StanleyWealth Management policies and other regulations
Liaises with the Legal and Compliance Division with customer complaints and litigation
Together with the Complex Manager and Senior Complex Risk Officer, ensures appropriate supervisory coverage is maintained at all times
Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has procedures in place
Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
Works with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is taken
Responsible for proactive client contact in determining suitability and managing risk
Active involvement with the region regarding matters presented to the Credit Committee
Primary source for intelligence on risk in regard to clients and FAs
Administrative
Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.
Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.
Assists in the review and on boarding of FA recruits

QUALIFICATIONS

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience
Bachelor’s degree required or equivalent education or experience
Previous industry experience
Active Series 3, 7, 8 (or 9 and 10), and 63, 65 (or 66)
Other licenses as required for role or by management

Knowledge/Skills
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
Effective written and verbal communication skills
Strong attention to detail
Ability to prioritize and resolve complex problems and escalate as necessary
Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
Evidence of strong leadership capabilities or previous supervisory experience
Ability to organize and prioritize workflow and assignments in a deadline oriented environment
Ability to interact with Financial Advisors and clients
Excellent judgment and the ability to be discreet in all matters
Strong work ethic

Reports To:
Dual reporting: Complex Manager and Senior Complex Risk Officer

Morgan Stanley
EOE committed to diversifying its workforce.
M/F/D/V.

 

“How to Find a Job” Books

We may earn a commission if you click on some of the links below and make a purchase at no additional cost to you.


How to Find a Job Books

Finding A Remote Job A Complete Guide – 2020 Edition

Finding A Remote Job A Complete Guide - 2020 Edition

Do you have the right kind of job? How should implementation be staged? Where are you prepared to go for a job? What are the main goals of your job club? Is building culture possible with a remote team?

Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role… In EVERY group, company, organization and department.

VIEW BOOK


Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Earn rewards for answering questions on products you already used and love.

Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

I earn weekly for helping WordPress customers with their problems. My job is to reply emails, chat customers and answer questions, most of which we already have answers to in our HUB and forum.

You can join too as it is available to anyone of any age worldwide.

VIEW BOOK


Remote: Office Not Required

Remote: Office Not Required

For too long our lives have been dominated by the ‘under one roof’ Industrial Revolution model of work. That era is now over. There is no longer a reason for the daily roll call, of the need to be seen with your butt on your seat in the office. The technology to work remotely and to avoid the daily grind of commuting and meetings has finally come of age, and bestselling authors Jason Fried and David Heinemeier Hansson are the masters of making it work at tech company 37signals. Remote working is the future – and it is rushing towards us.

VIEW BOOK


Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

If your dream job is not related to a location, an office or a cubicle farm, then this book is for you. Look at a job in a totally new way and start enjoying life while being more productive.

Employers will like this book and embrace working-from-anywhere to have more engaged employees, attract top talent and save big on the bottom line.

VIEW BOOK


Read More

Other jobs you may like

PWM Complex Risk Officer

Local Jobs Morgan Stanley
  • United States, New York, NY View on Map
  • Post Date: June 4, 2020
  • Apply Before : July 4, 2020
  • Share:

Job Description

PWM Complex Risk Officer

Job Number:

3152153

POSTING DATE: Jun 3, 2020
PRIMARY LOCATION: Americas-United States of America-New York-New York
EDUCATION LEVEL: Refer to Position Description
JOB: Wealth Management
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Assistant Vice President

DESCRIPTION

POSITION SUMMARY:
The Private Wealth Management Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Complex Risk Officer, the PWM Complex Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The PWM Complex Risk Officer keeps the Senior Complex Risk Officer informed of significant matters. The PWM Complex Risk Officer role is a non-revenue sharing position that has dual reporting to the Complex Manager and Senior Complex Risk Officer.

DUTIES and RESPONSIBILITIES:

Surveillance and Supervision
Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
Facilitates any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk Officer
Focuses on business ethics and regulatory and compliance practices
Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
Monitors and implements procedures to manage all facets of risk, including data security
Facilitates regular and consistent communication of Morgan StanleyWealth Management policies and other regulations
Liaises with the Legal and Compliance Division with customer complaints and litigation
Together with the Complex Manager and Senior Complex Risk Officer, ensures appropriate supervisory coverage is maintained at all times
Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has procedures in place
Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
Works with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is taken
Responsible for proactive client contact in determining suitability and managing risk
Active involvement with the region regarding matters presented to the Credit Committee
Primary source for intelligence on risk in regard to clients and FAs
Administrative
Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.
Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.
Assists in the review and on boarding of FA recruits

QUALIFICATIONS

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience
Bachelor’s degree required or equivalent education or experience
Previous industry experience
Active Series 3, 7, 8 (or 9 and 10), and 63, 65 (or 66)
Other licenses as required for role or by management

Knowledge/Skills
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
Effective written and verbal communication skills
Strong attention to detail
Ability to prioritize and resolve complex problems and escalate as necessary
Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
Evidence of strong leadership capabilities or previous supervisory experience
Ability to organize and prioritize workflow and assignments in a deadline oriented environment
Ability to interact with Financial Advisors and clients
Excellent judgment and the ability to be discreet in all matters
Strong work ethic

Reports To:
Dual reporting: Complex Manager and Senior Complex Risk Officer

Morgan Stanley
EOE committed to diversifying its workforce.
M/F/D/V.

 

“How to Find a Job” Books

We may earn a commission if you click on some of the links below and make a purchase at no additional cost to you.


How to Find a Job Books

Finding A Remote Job A Complete Guide – 2020 Edition

Finding A Remote Job A Complete Guide - 2020 Edition

Do you have the right kind of job? How should implementation be staged? Where are you prepared to go for a job? What are the main goals of your job club? Is building culture possible with a remote team?

Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role… In EVERY group, company, organization and department.

VIEW BOOK


Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Earn rewards for answering questions on products you already used and love.

Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

I earn weekly for helping WordPress customers with their problems. My job is to reply emails, chat customers and answer questions, most of which we already have answers to in our HUB and forum.

You can join too as it is available to anyone of any age worldwide.

VIEW BOOK


Remote: Office Not Required

Remote: Office Not Required

For too long our lives have been dominated by the ‘under one roof’ Industrial Revolution model of work. That era is now over. There is no longer a reason for the daily roll call, of the need to be seen with your butt on your seat in the office. The technology to work remotely and to avoid the daily grind of commuting and meetings has finally come of age, and bestselling authors Jason Fried and David Heinemeier Hansson are the masters of making it work at tech company 37signals. Remote working is the future – and it is rushing towards us.

VIEW BOOK


Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

If your dream job is not related to a location, an office or a cubicle farm, then this book is for you. Look at a job in a totally new way and start enjoying life while being more productive.

Employers will like this book and embrace working-from-anywhere to have more engaged employees, attract top talent and save big on the bottom line.

VIEW BOOK


Read More

Other jobs you may like

PWM Complex Risk Officer

Local Jobs Morgan Stanley
  • United States, San Francisco, CA View on Map
  • Post Date: May 30, 2020
  • Apply Before : June 29, 2020
  • Share:

Job Description

PWM Complex Risk Officer

Job Number:

3152082

POSTING DATE: May 20, 2020
PRIMARY LOCATION: Americas-United States of America-California-San Francisco
EDUCATION LEVEL: Refer to Position Description
JOB: Wealth Management
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Professional

DESCRIPTION

POSITION SUMMARY:
The Private Wealth Management Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Complex Risk Officer, the PWM Complex Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The PWM Complex Risk Officer keeps the Senior Complex Risk Officer informed of significant matters. The PWM Complex Risk Officer role is a non-revenue sharing position that has dual reporting to the Complex Manager and Senior Complex Risk Officer.

DUTIES and RESPONSIBILITIES:

Surveillance and Supervision
Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
Facilitates any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk Officer
Focuses on business ethics and regulatory and compliance practices
Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
Risk Management/Compliance/Legal
Monitors and implements procedures to manage all facets of risk, including data security
Facilitates regular and consistent communication of Morgan StanleyWealth Management policies and other regulations
Liaises with the Legal and Compliance Division with customer complaints and litigation
Together with the Complex Manager and Senior Complex Risk Officer, ensures appropriate supervisory coverage is maintained at all times
Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has procedures in place
Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
Works with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is taken
Responsible for proactive client contact in determining suitability and managing risk
Active involvement with the region regarding matters presented to the Credit Committee
Primary source for intelligence on risk in regard to clients and FAs
Administrative
Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.
Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.
Assists in the review and on boarding of FA recruits

QUALIFICATIONS

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS:
Education and/or Experience
Bachelor’s degree required or equivalent education or experience
Previous industry experience
Active Series 3, 7, 8 (or 9 and 10), and 63, 65 (or 66)
Other licenses as required for role or by management

Knowledge/Skills
Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
Effective written and verbal communication skills
Strong attention to detail
Ability to prioritize and resolve complex problems and escalate as necessary
Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
Evidence of strong leadership capabilities or previous supervisory experience
Ability to organize and prioritize workflow and assignments in a deadline oriented environment
Ability to interact with Financial Advisors and clients
Excellent judgment and the ability to be discreet in all matters
Strong work ethic

Reports To:
Dual reporting: Complex Manager and Senior Complex Risk Officer

Morgan Stanley
EOE committed to diversifying its workforce.
M/F/D/V.

 

“How to Find a Job” Books

We may earn a commission if you click on some of the links below and make a purchase at no additional cost to you.


How to Find a Job Books

Finding A Remote Job A Complete Guide – 2020 Edition

Finding A Remote Job A Complete Guide - 2020 Edition

Do you have the right kind of job? How should implementation be staged? Where are you prepared to go for a job? What are the main goals of your job club? Is building culture possible with a remote team?

Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role… In EVERY group, company, organization and department.

VIEW BOOK


Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Breakthrough Remote Job: Earn rewards for answering questions on products you already used and love. Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

Earn rewards for answering questions on products you already used and love.

Products such as Microsoft, Linkedin, WordPress, Postmates, Samsung Galaxy Phones, Air BnB etc.

I earn weekly for helping WordPress customers with their problems. My job is to reply emails, chat customers and answer questions, most of which we already have answers to in our HUB and forum.

You can join too as it is available to anyone of any age worldwide.

VIEW BOOK


Remote: Office Not Required

Remote: Office Not Required

For too long our lives have been dominated by the ‘under one roof’ Industrial Revolution model of work. That era is now over. There is no longer a reason for the daily roll call, of the need to be seen with your butt on your seat in the office. The technology to work remotely and to avoid the daily grind of commuting and meetings has finally come of age, and bestselling authors Jason Fried and David Heinemeier Hansson are the masters of making it work at tech company 37signals. Remote working is the future – and it is rushing towards us.

VIEW BOOK


Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

Why Working-From-Anywhere-Companies Attract the Best Talent: A Guide for Companies, Employees and Remote Job Seekers

If your dream job is not related to a location, an office or a cubicle farm, then this book is for you. Look at a job in a totally new way and start enjoying life while being more productive.

Employers will like this book and embrace working-from-anywhere to have more engaged employees, attract top talent and save big on the bottom line.

VIEW BOOK


Read More

Other jobs you may like