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Vice President- Field Operational Risk
Morgan Stanley
Purchase, NY, United States
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Description
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.
Field Management Operational Risk
Field Management Operational Risk team is responsible for overseeing the operational risk and control initiatives within the Wealth Management Field business unit. This team partners with Field Risk and Service to implement control processes and procedures, manages audits and exams with Compliance and Internal Audit, organizes the annual Risk and Control Self-Assessment, and coordinates new operational risk programs in partnership with Wealth Management and Firm Operational Risk Management departments.
Key Responsibilities:
• Contribute to key strategic operational risk priorities such as the monthly business risk review, Risk & Control Self-Assessment, and data remediation projects
• Conduct Financial Advisor and Client Service Associate error reviews with appropriate support teams such as Risk, Operations, IT and the Field
• Oversee the policy governance process for Field Management, including centralization, ownership designation, and content reviews
• Coordinate with Complex Office teams to prepare for Compliance Branch Exams and Internal Audits
• Develop new metrics and key risk indicators (KRI’s) with business management, internal audit and compliance
• Represent Field Operational Risk in technology prioritization meetings and forums when relevant
• Develop Business Requirement Documents, Use Cases, Test Cases and training materials for improvements impacting field facing systems
• Conduct data analysis to help identify trends and root causes branch exam and audit findings, and develop projects to remediate repeat exceptions
• Partner work closely with Technology and Operations to oversee project implementation
Qualifications
• 5-10 years of experience within Operational Risk or Wealth Management Operations
• Must be familiar with Wealth Management branch structure and/or Branch Operations
• Strong proficiency with PowerPoint and Excel
• Excellent written and verbal communications skills
• Attention to detail, project management and organizational skills will be key in balancing daily deadlines
• Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines
• Ability to work in a small team environment, building and maintain a network of contacts and coordinating with a large number of stakeholders
• Bachelor’s Degree