362 jobs in San Francisco, CA

Senior Litigation Attorney (Northern California)

At American Family Insurance - Remote / Flexible

Posted on Nov 10

View job Apply on company site

Sr. Director

At Visa - San Francisco

Posted on Nov 10

View job Apply on company site

Sr. Principal/Architect - Infrastructure/Production Engineering (Chronosphere)

At Palo Alto Networks - San Francisco

Posted on Nov 5

View job Apply on company site

ETF Product Developer, Associate - ETF Platform

At BlackRock - San Francisco

Posted on Nov 8

View job Apply on company site

Advisory Growth Specialist

At Merrill - New York · Chicago

Posted on Nov 9

View job Apply on company site

Director, Blockchain Platform Architect - Technology Incubation - R&D

At Charles Schwab - San Francisco

Posted on Nov 5

View job Apply on company site

Mortgage Loan Officer

At PNC - San Francisco

Posted on Nov 10

View job Apply on company site

Director, Product Development, AI Enablement

At Capital One - McLean · New York

Posted on Nov 8

View job Apply on company site

Merrill Financial Solutions Advisor - Partially Registered: San Francisco Market

At Bank of America - San Francisco

Posted on Nov 7

View job Apply on company site

Regional Safety Group Manager

At General Motors - Palo Alto · Pasadena

Posted on Nov 10

View job Apply on company site

Wealth Management Branch Examiner

At Morgan Stanley - Houston · Miami

Posted on Nov 6

View job Apply on company site

Dolby Creator Lab Program Coordinator (Contract)

At Dolby - Burbank · San Francisco

Posted on Nov 4

View job Apply on company site

Associate Staff Attorney, Workers' Compensation

At The Hartford - San Francisco

Posted on Nov 7

View job Apply on company site

San Francisco - Strategic Finance Intern

At Uber - San Francisco

Posted on Nov 9

View job Apply on company site

M&A Product Tech Diligence Architect, Manager

At Deloitte - Atlanta · Austin

Posted on Nov 10

View job Apply on company site

VP, Equity Research - Semiconductor Equipment, Manufacturing, Memory & IT Hardware

At TD Bank - New York · San Francisco

Posted on Nov 4

View job Apply on company site

Senior Manager, Digital Enterprise Technology, Customer 0 Program Strategy & Storytelling

At Salesforce - New York · Dallas

Posted on Nov 10

View job Apply on company site

Commercial Banker-Insurance Services-Associate

At JPMorgan Chase - San Francisco · Los Angeles

Posted on Nov 9

View job Apply on company site

P/L Territory Manager I

At Liberty Mutual Insurance - Sacramento · Aliso Viejo

Posted on Nov 6

View job Apply on company site

Active Trader Service- Greater San Francisco, CA Area (REMOTE)

At Fidelity Investments - Remote / Flexible

Posted on Nov 6

View job Apply on company site

Morgan Stanley

Wealth Management Branch Examiner

Houston, TX · Miami, FL · San Francisco, CA · Chicago, IL · New York, NY$70,000 – $125,000Posted 4 days ago

Apply on company site View full job

We're seeking someone to join our team as a Branch Examiner in WM Compliance to perform independent oversight and execution of risk-based branch examinations across retail locations, serving as a key partner in strengthening supervisory practices and safeguarding the Firms regulatory integrity.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a director level position within the Branch Examinations Team, which is responsible for performing risk-based inspections of retail branch offices, including evaluating books and records, testing for sales practice compliance, money movement, and assessing the effectiveness of supervisory processes and procedures.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

The Role:

- Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures and reviewing relevant documentation.

- Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff and branch management.

- Leverage your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches control environment.

- Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results.

- Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate the timely remediation of identified issues.

- Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures.

- Oversee multiple examinations and projects concurrently.

- Maintain up-to-date knowledge of industry and regulatory changes.

Qualifications :

What you'll bring to the role:

- Knowledge of the Financial Services Industry

- Prior examination or testing experience a plus

- Team-oriented with the ability to interact with diverse remote teams, branch staff and management

- Strong communication, detail oriented, analytical, critical thinking and organizational skills

- Objectivity with the skill to make independent decisions associated with Compliance testing procedures

- Enthusiastic, disciplined and self-motivated

- Ethical standards, sound judgment and integrity

- Domestic travel approximately 30 to 40% required

- 3+ years Financial Services Industry Experience

- FINRA licenses a plus

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Salary range for the position: $70,000 and $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

About Morgan Stanley

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals.

Size: 10,000+ employees
Industry: Financial Services

View company profile