Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firms invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firms businesses.
Morgan Stanley is seeking a strong candidate for its Wealth Management Branch Examination Team. The individual will be responsible for the oversight and execution of the enhanced data analytics and pre-exam intelligence gathering in an effort to further emphasize sales practice and suitability reviews. In addition, the individual will manage the process of regularly updating and enhancing the testing procedures. The Candidate will support the Head of Branch Examinations and be expected to assist with:
-Provide input on Tableau dashboard development to analyze data related to Financial Advisor revenue for various products (i.e. equities and corporate bonds).
-Evaluate the analytics parameters and interpret data from internal sources to determine if adjustments are required to dashboards.
-Create risk profile that highlight potential areas of concern derived from data analytics. Provide the risk profile to Branch Examination Supervisors and Examiners.
-Standardize Enhanced Review process to better track outcomes of reviews initiated.
-Identify anomalies, patterns and potential issues for inclusion in Branch Examination testing.
-Work directly with Compliance and Branch Examination subject matter experts to identify testing opportunities and data sources for inclusion in the program.
-Identify changes in industry regulations and Firm policies and procedures are being met through periodic gap analysis of the program.
Skills required (essential)
-Previous experience in Financial Services
-Experience with Tableau dashboards
-Ability to draft test procedures
-Ability to interact with diverse teams in multiple locations
-Strong interpersonal, communication and organizational skills
-Enthusiastic, self-motivated, independent, high energy individual
-Strong analytical skills
-Ability to multi-task
- Management experience