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Activity Monitoring Vice President - Wealth Management Operations
Morgan Stanley
South Jordan, UT, United States
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Description
The Wealth Management Activity Monitoring team is focused on managing and implementing a centralized governance and process structure for our client and account processing and restriction platform. Across Wealth Management, there are numerous departments having varied criteria leading to a client or account restriction. These restrictions can include, but are not limited to: Trading, Withdrawals/Distributions, New Accounts, Checks/Debit Cards, ACATS, and Journals. Departments that can place and remove restrictions on clients or accounts can include, but are not limited to: Anti-Money Laundering, Risk / Compliance Surveillance, National New Accounts, Legal, Stock Plan Services, and Margin.
The Wealth Management Activity Monitoring team is looking for a Vice President to lead the formation, definition and implementation of the newly created Activity Monitoring team. This role requires a candidate with strong hands-on experience in governance initiatives in a complex environment managing a team of employees across several work streams.
Key responsibilities:
• Playing a lead role for various projects/initiatives supporting Activity Monitoring
• Managing and maintaining relationships across various departments and functions including but not limited to: Legal, Risk, Compliance, Anti-Money Laundering, New Accounts, Margin, Stock Plan Services & IT
• Understanding business functions and processes
• Coordinating and scheduling project execution
• Field and cross platform impact assessment
• Understanding and developing metrics and reporting needs for senior management
• Managing a growing team of resources
• Gathering and documenting requirements including process flow diagrams, policy and procedure documents for various departments and evaluation of existing processes · Flexibility and willingness to learn new roles and responsibilities in an ever changing complex environment
• Flexibility and willingness to learn new roles and responsibilities in an ever changing complex environment
• Supervising a team of 2 resources to execute on deliverables
Qualifications
• 7+ years of experience working for a major financial institution, preferably wealth management or consulting agency, having clients in the financial services industry (wealth management)
• Working experience, or strong knowledge of the following areas: AML, Legal, Compliance, Audit, Risks & Controls, Operations & IT
• Ability to manage and maintain relationships across various departments
• Ability to supervise a team of resources
• Strong problem-solving abilities and analytical skills, ability to break down complex problems and projects into manageable pieces, and develop elegant and efficient solutions
• Experience gathering requirements and writing BRDs and functional specifications
• Experience documenting and implementing policy and procedure documents
• Strong verbal and written communication skills
• Solid knowledge of Microsoft Office (intermediate Excel), basic SQL
• Bachelor?s degree required. Advanced degree (MBA, Business Analytics) a plus