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Morgan Stanley

Complex Risk Officer - Assistant Vice President - MSVA

Alpharetta, GA

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.

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Department Overview

Virtual Client Solutions within Morgan Stanley provides wealth management services to clients remotely, through a call center model. Employees within this business include Remote Financial Advisors, Client Service Associates, Operations Associates & Risk Officers.

The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Complex Risk Officer, the Complex Risk Officer has accountability for maintaining a consistent controlled environment through adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Complex Risk Officer keeps the Senior Complex Risk Officer informed of significant matters.

Role Responsibilities
Surveillance and Supervision
  • Primarily responsibility for all risk, supervisory and compliance function for the business
  • Facilitates any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer or Senior business management
  • Focuses on business ethics and regulatory and compliance practices
  • Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
  • Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
  • Risk Management/Compliance/Legal
  • Monitors and implements procedures to manage all facets of risk, including data security
  • Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations
  • Liaises with the Legal and Compliance Division with customer complaints and litigation
  • Together with the Complex Manager and Senior Complex Risk Officer, ensures appropriate supervisory coverage is maintained at all times
  • Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has appropriate procedures in place
  • Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
  • Works with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is taken
  • Responsible for proactive client contact in determining suitability and managing risk
  • Active involvement with the senior leadership regarding Credit Committee matters
  • Primary source for intelligence on risk in regards to clients and Financial Advisors
  • Works closely with Special Investigations Unit on any Human Resources issues as related to risk and compliance
  • Together with the Senior Complex Risk Officer, facilitates the training on Morgan Stanley Wealth Management Compliance policies and procedures to sales, service and operations colleagues
  • Assists in the review and onboarding of all new employees in the location


QUALIFICATIONS

Required Qualifications
  • 3 years of experience working within the financial industry
  • Demonstrated knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
  • Evidence of leadership capabilities with strong presentation skills
  • Experience supervising Financial Advisor activities
  • Required Active Licenses;
    • Series 7
    • Series 8 (or 9 & 10) (or 4, 24, 53)
    • Series 66 (or 63 & 65)
  • Demonstrated experience organizing and prioritizing work (including resolving complex problems and escalations), meeting deadlines and completing projects
  • Experience identifying issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies

Preferred Qualifications
  • Bachelor's degree preferred

Soft Skills
  • Ability to work independently
  • Strong attention to detail
  • Ability to interact with Financial Advisors and clients
  • Excellent judgment and ability to be discreet in all matters
  • Strong work ethic

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Client-provided location(s): Alpharetta, GA, USA
Job ID: Morgan-3232701
Employment Type: Other

Perks and Benefits

  • Health and Wellness

    • Health Insurance
    • Dental Insurance
    • Vision Insurance
    • Life Insurance
    • Short-Term Disability
    • Long-Term Disability
    • Fitness Subsidies
    • On-Site Gym
    • Pet Insurance
    • Mental Health Benefits
    • FSA
    • Virtual Fitness Classes
    • HSA
  • Parental Benefits

    • Fertility Benefits
    • Adoption Assistance Program
    • Family Support Resources
  • Work Flexibility

    • Hybrid Work Opportunities
  • Office Life and Perks

    • Commuter Benefits Program
    • Company Outings
    • On-Site Cafeteria
    • Holiday Events
  • Vacation and Time Off

    • Paid Vacation
    • Paid Holidays
    • Leave of Absence
    • Volunteer Time Off
    • Personal/Sick Days
  • Financial and Retirement

    • 401(K) With Company Matching
    • Stock Purchase Program
    • Performance Bonus
    • Relocation Assistance
    • Financial Counseling
  • Professional Development

    • Tuition Reimbursement
    • Promote From Within
    • Mentor Program
    • Access to Online Courses
    • Lunch and Learns
    • Work Visa Sponsorship
    • Leadership Training Program
    • Associate or Rotational Training Program
  • Diversity and Inclusion

    • Diversity, Equity, and Inclusion Program
    • Employee Resource Groups (ERG)

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