Wealth Management – Segment Risk/Global Sports & Entertainment - Assistant Vice President
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's 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.
Segment Risk is a group within National Business Risk that covers Wealth Management's specialized business units. In particular, Segment Risk is responsible for both supporting strategic risk initiatives and projects, as well as covering the day-to-day field risk issues for business segments such as the Global Sports & Entertainment business, PWM, IWM & IWS.
The Global Sports & Entertainment business (GSE) is a highly specialized wealth management division, dedicated to serving the unique and complex needs of athletes, entertainers, creators and top professionals in the sports and entertainment industry. Among its different areas of focus, GSE has recently been named an official institutional financial advisor participant of the NFL Players Association (NFLPA).
This newly created position will be dedicated to the GSE business and will be responsible for helping develop and implement new risk and surveillance controls for the NFLPA Financial Advisor Program specifically and the GSE business more broadly.
• Provide day-to-day field risk coverage for the GSE business
• Implement the risk controls and oversight for the NFLPA program
• Develop and enhance policies, procedures and controls tailored to the GSE business
• Supervise the activities of our GSE directors and their clients
• Develop, implement and maintain periodic risk reports tailored to the GSE business (metrics/analysis on client relationships and associated control effectiveness)
• Assist in the periodic reporting on the implementation and efficacy of the controls Qualifications:
• Bachelor's degree and a minimum 5 years of industry experience in wealth management or investment products
• Prior Experience working in a compliance, legal or risk management function
• Familiarity with investment due diligence and SEC & FINRA marketing and advertising rules
• Securities licenses (e.g., Series 7, and 8 or 24) required or to be obtained after taking the role
• Strong collaboration skills across both the corporate and field structures
• Excellent written and oral communication skills
• Strong Microsoft Excel, PowerPoint and Word skills
• Strong organizational and problem solving skills