Public Books and Records Central Review Unit Risk Officer
Full Time
Baltimore, MD 21231
Posted
Job description
Public Books and Records Central Review Unit Risk Officer
Job Number:
3232342
POSTING DATE: Feb 27, 2023
PRIMARY LOCATION: Americas-United States of America-Maryland-Baltimore
OTHER LOCATIONS: Americas-United States of America-Utah-South Jordan
EDUCATION LEVEL: Bachelor's Degree
JOB: Risk Management
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Assistant Vice President
DESCRIPTION
Wealth Management Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The Public Books and Records CRU Risk Officer provides centralized risk oversight of the Wealth Management Financial Advisors, ensuring consistency in both the review and resolution of potential conduct issues. This role involves working on complex risk matters in coordination with Financial Advisors and Field Risk and requires a high degree of analytical and communication skills; the ideal candidate will be a self-starter with a strong business and risk analysis acumen.
Risk Officer Responsibilities Include:
Risk Officer Responsibilities Include:
In depth analysis of controls that cover many areas of Risk, including but not limited to: Sales practice misconduct and outside business interest/activity disclosure requirements.
Conduct Public Books and Records searches to identify potentially undisclosed OBI/OBAs
Review findings and circumstances with Field Risk, Complex and Branch Management, and Financial Advisors
Serving as an escalation point for issues and questions.
QUALIFICATIONS
Knowledge, Skills, and Abilities
Ability to thoroughly investigate and problem solve; to see an assignment through from conception to completion
Ability to communicate complex and sensitive subject matter effectively and with discretion
Able to act with a high degree of integrity regarding sensitive personal information
Knowledge of SEC, Finra and firm compliance policies
Effective written and verbal communication skills
Strong attention to detail
Ability to identify issues and trends in order 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
Experience
5 -10 years of industry experience
Risk or compliance experience strongly preferred
Experience in supervision a plus
Experience with OBI/OBA requirements a plus
Education
Bachelor's degree or equivalent work experience
Other Qualifications
External candidates must:
Be authorized to work in the U.S. without restriction as to duration
Pass a Drug Test and a Background Check
Pass any applicable pre-employment tests
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. 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.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
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