Central Review Unit Risk Officer / Products Team at Morgan Stanley

South Jordan, Utah, United States -

Full Time

Start Date

Immediate

Expiry Date

04 Feb, 26

Salary

0.0

Posted On

06 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Risk Analysis, Trade Supervision, Advisory Accounts, Suitability Reviews, Reporting, Trend Analysis, Problem Solving, Compliance Policies, Data Analytics, Alternative Investments, Technology Savvy, Workload Management, Independence, Flexibility, Organization, Prioritization

Industry

Financial Services

Description

In depth analysis of a suite of controls that cover many areas of Risk, including but not limited to: Trade Supervision, appropriate use of Advisory Accounts, and Suitability Reviews Being the contact point for Field Risk Conduct monthly calls with the Field Branches you support Providing reporting and trend analysis of what you are seeing in the risk reviews you conduct Serving as an escalation point for issues and questions from the field Providing coverage on an as-needed basis Ability to thoroughly investigate and problem solve; to see an assignment through from conception to completion Knowledge of SEC, Finra and firm compliance policies Ability to identify issues and trends to provide recommended comprehensive solutions Ability to organize and prioritize work to meet strict deadlines Ability to problem solve independently Ability to handle large workloads without compromising the integrity of the supervision Must be pro-active and own workload and day Ability to evaluate and understand the full picture and risk implications of the supervision conducted Flexible, must be able to manage a diverse, heavy, and ever-changing workload Strong technology savvy strongly preferred, advanced experience and knowledge of excel and other data analytics tools Advanced understanding of Alternative Investments and other complex products a plus External candidates must: o Be authorized to work in the U.S. without restriction as to duration o Pass any applicable pre-employment tests Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Must have an active Series 7 & 66 (or 65 and 63) 9 and 10 (or 8) or the ability to obtain the 9 and 10 within 60 days of hire

Responsibilities

The role involves in-depth analysis of risk controls across various areas, including trade supervision and suitability reviews. The officer will also conduct monthly calls with field branches and provide reporting and trend analysis based on risk reviews.