Senior Investor Oversight Risk Group: Vice President at Morgan Stanley

South Jordan, Utah, United States -

Full Time

Start Date

Immediate

Expiry Date

11 Feb, 26

Salary

165000.0

Posted On

13 Nov, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Risk Management, Compliance, Fraud Prevention, Communication Skills, Analytical Skills, Empathy, Collaboration, Problem Solving, Attention to Detail, Organizational Skills, Time Management, Financial Industry Knowledge, Client Advisory, Regulatory Knowledge, Teamwork, Self-Starter

Industry

Financial Services

Description

The primary role of the SIOG Vice President role is to participate in advising our Risk Officers on the proper handling of senior and vulnerable client matters, including intake, reporting, counsel on responsive action to mitigate risk and protect clients. Matters escalated to SIOG are often challenging and require patience, diligence, empathy, care, strong communication skills, and productive collaboration with internal business partners and colleagues in other departments, such as Field Management, Field Risk, Legal, Compliance, Fraud, Corporate Security, among others. In addition, the matters often require interaction with external parties for resolution, including Adult Protective Services. The duties performed by SIOG employees must be consistent with firm policies, procedures, and applicable industry and state regulation standards. Collaborate with internal partners in Business, Corporate Security, Fraud, Legal, Compliance and Risk to formulate actions plans to remediate risk Provide notifications to and work with appropriate state agencies and regulators Educate Financial Advisors, Risk Officers, and Service Representatives on identifying and escalating senior or vulnerable matters and advising clients and their immediate family on strategies to better protect assets and mitigate risks Advise Risk Officers on interviewing senior investors and handling client resolutions of financial exploitation events Participation in the assessment of existing controls and processes to mitigate elder client risk, the development of new controls and responses to supervisory alerts. Minimum of 5 years' experience in the financial industry, preferred supervision experience or work experience in compliance, risk management, fraud prevention or law enforcement Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters Strong verbal and written communication skills Empathy, compassion and care for vulnerable individuals and seniors with possible capacity or other issues Strong analytical skills High motivation and energy with ability to develop strong working relationships Basic knowledge of Brokerage and Bank business 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 Advanced proficiency in MS Office, PowerPoint, Excel, Excellent problem-solving and business judgment Strong organizational, planning and time management skills Ability and willingness to voice ideas, in addition to following instructions Series licensed 7, 9, 10, 65, 24 preferred but not required Bachelor's Degree or equivalent 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. New York: Expected base pay rates for the role will be between $120,000 and $165,000 per year at the commencement of employment. 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 SIOG Vice President advises Risk Officers on handling senior and vulnerable client matters, focusing on risk mitigation and client protection. This role involves collaboration with various internal and external parties to resolve complex issues.