IIS Risk Officer at Morgan Stanley

Tempe, Arizona, United States -

Full Time

Start Date

Immediate

Expiry Date

02 Feb, 26

Salary

0.0

Posted On

04 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Risk Management, Supervision, Compliance, Business Ethics, Coaching, Data Security, Legal Liaison, Audit Preparation, Client Contact, Leadership, Communication, Problem Solving, Attention to Detail, Judgment, Workflow Organization, Regulatory Knowledge

Industry

Financial Services

Description

Surveillance and Supervision Primary responsibility for all risk, supervisory, and compliance functions for one or more groups of Support personnel and multiple MFO clients Facilitates any supervisory inquiry or process that requires escalation Focuses on business ethics and regulatory and compliance practices Provides coaching and guidance on policies and procedures across IIS 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 Specifically supervise all money movement and trade execution activities within the IIS branch inclusive of transactions executed on the Fund Services and outside Custodial platforms Reviews and responds to a variety of supervisory alerts in a timely and sufficient manner Monitors and implements procedures to manage all facets of risk, including data security Liaises with the Legal and Compliance Division with customer complaints and litigation Ensures appropriate supervisory coverage is maintained at all times Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensuring the Branch 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 Senior Institutional Risk Officer to monitor people risk, and ensures appropriate action is taken In partnership with the Portfolio Manager, responsible for proactive client contact in determining suitability and managing risk Primary source for intelligence on risk in regard to clients and personnel Bachelor's degree required or equivalent education or experience 5-10 years of experience in the financial, consulting, or banking industry Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) Series 24 a plus Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge 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 lead discussions including with senior managers, legal, and compliance partners Excellent judgment and the ability to be discreet in all matters Strong work ethic 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.

Responsibilities

The IIS Risk Officer is responsible for overseeing all risk, supervisory, and compliance functions for support personnel and multiple clients. This includes supervising money movement and trade execution activities, responding to supervisory alerts, and ensuring compliance with regulatory practices.