[YMG52] Risk Officer - Vice President

[YMG52] Risk Officer - Vice President

31 dic
|
Morgan Stanley
|
Amer

31 dic

Morgan Stanley

Amer

Risk Management/Compliance/Legal. Dear Jobseeker, Find millions of jobs on single click.. close. Congratulations! You have been logged in via Facebook. Is your career affected by Covid-19. YesNo. To see all recommended jobs, profile views, recruiter's contacted information, updates and more.... Login-ID/Password cannot be left blank. Enter the full email ID (like:

--------------------), if you are using registered email-id for login.. Please provide inputs for at least one field. location_on. United States of America (USA) (United States Of America (usa)). Institutional Infrastructure Solutions (IIS)

is a new business unit that provides world-class service to Morgan Stanleys institutional clients including Multi-Family Offices and the Graystone business. IIS supports clients in partnership with Morgan Stanleys Fund Services infrastructure, an outsourced Wealth Management OCIO, the clients MS Financial Advisor, and WM Operations. IIS specifically supports all client service model execution processes including Client Onboarding and Maintenance, Money Movement, Asset Aggregation and Accounting, Billing, and Client/IO Reporting. The Risk Officer is a senior position in IIS responsible for a wide variety of supervisory, compliance, and risk functions. The Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management and Fund Services policies, and other regulations. The Risk Officer keeps the Senior Client Relationship Manager and MFO Segment Risk informed of significant matters.. Role Responsibilities. Surveillance and Supervision. Primary responsibility for all risk, supervisory, and compliance functions for one or more groups of Support personnel and multiple MFO clientsFacilitates any supervisory inquiry or process that requires escalationFocuses on business ethics and regulatory and compliance practicesProvides coaching and guidance on policies and procedures across IIS in order to promote risk awareness and a compliant environmentEnsure proper procedures are in place to ensure that approvals are handled appropriately and timelySpecifically supervise all money movement and trade execution activities within the IIS branch inclusive of transactions executed on the Fund Services and outside Custodial platformsReview escalations from the branch in regards to NAV or cash breaks found by Fund Services processing. Monitors and implements procedures to manage all facets of risk, including data securityFacilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulationsLiaises with the Legal and Compliance Division with customer complaints and litigationEnsures appropriate supervisory coverage is maintained at all timesOversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensuring the Branch has procedures in placeSupports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediatedWorks with Senior Client Relationship Officer to monitor people risk, and ensures appropriate action is takenIn partnership with the Investment Officer, responsible for proactive client contact in determining suitability and managing riskPrimary source for intelligence on risk in regard to clients and personnel. Qualifications. Education and/or Experience. Bachelors degree required or equivalent educationPrevious industry management experienceActive Series 7, 8, 66 (or 63 and 65), 24, and 9/10Other licenses as required for role or by managementExperience with multi-family offices and institutions requiredExperience supporting clients with multiple custodians required. Knowledge/Skills. Knowledge of SEC, FINRA and Firm Compliance Policies and ProceduresEffective written and verbal communication skillsStrong attention to detailAbility to prioritize and resolve complex problems and escalate as necessaryAbility to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remediesEvidence of strong leadership capabilities or previous supervisory experienceAbility to organize and prioritize workflow and assignments in a deadline oriented environmentAbility to interact with Financial Advisors and clientsExcellent judgment and the ability to be discreet in all mattersStrong work ethic. Job Function:

Production/Manufacturing/Maintenance/Packaging. IndustryBanking, Financial Services & Insurance (Investment Banking/ Merchant Banking & Finance). Important:

TimesJobs doesn't solicit money from jobseekers. If someone calls citing TimesJobs name and asks for money then pls report to -------------------- Know more. . . . .. . close. You will be redirected to the company website based on your profile. You will be redirected to the company website based on your profileIndustry:

Financial Services/Stockbroking. Specialization:

Production/Manufacturing/Maintenance

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