CS Risk, Client Segments, Vice President, Wealth Management

Company Profile

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.

Wealth Management - Client Segment Organization Overview

Morgan Stanley's Wealth Management business is one of the largest in the world with more than $6 trillion in client assets. The Client Segments (CS) Organization, within Morgan Stanley Wealth Management (MS WM), is comprised of various client channels, providing services to both individual and institutional Clients. Some of the services include Financial Management, Equity Stock Plans, Retirement Plans, Financial Wellness, Marketing, and Reinvestment. The teams focus on delivering timely, customized solutions and services that help Clients meet their financial, life, and organizational goals.

• Enhance Operational Risk framework by engaging business partners to understand operational risk incidents and remediate as necessary, creating controls, providing updates to NFR, managing Business Continuity Plan deliverables (BCM) and other ad-hoc risk activities
• Collaborate with team and stakeholders to identify and assess automation opportunities using optimal solutions
• Analyze existing business processes and workflows, identify gaps, recommend optimizations, and assess feasibility for automation
• Provide support for internal audits, compliance exams and other areas of review
• Contribute to key strategic operational risk priorities performed within our Mumbai team, including transition planning, resource allocation, coordination, managing and training additional team members, and engagement with our BCU managers
• Manage dependencies, risk, and changes effectively by optimizing scope, schedule and resources
• Provide thought leadership and support on business processes and controls
• Partner with the business to develop policies and procedures affecting areas under coverage; working with risk leads and other business stakeholders, legal and risk to attain approvals
• Manage licensing/registration efforts, e-communication escalations review, mandatory vacation, entitlements, cash/non-cash compensation, etc.
• Assist with incident response, reviews, and reporting. Identify, review, and analyze past incidents
• Analyze risk data and provide insightful reports on strategic risk exposures
• Project Management support for presentation materials which may include data extraction, data analysis, creating charts, revising summary language, etc.
• Manage projects as needed and assigned; deliverables are often related to ad-hoc and unanticipated requests, so a successful candidate must be able to work in an environment with evolving priorities, making good decisions about prioritization, and communicating immediately where there are real risks to on-time delivery
• Collaborate and build effective working relationships with all levels of employees across the organization. Partner with second- and third-line control functions (Legal, Compliance, Audit, and Operational Risk Department) on an ongoing basis

• Strong analytical and problem-solving skills with the ability to quickly understand complex business processes
• Proven experience in leading, mentoring, and developing a high-performing team, fostering a culture of collaboration, continuous improvement, and innovation
• Knowledge of data analysis tools (e.g., Excel, SQL, Power BI)
• Proficiency with AI prompting, Artificial Intelligence and OpenAI will be an advantage
• Thrives in a fast-paced environment and takes ownership of their responsibilities to ensure partner success and satisfaction
• Understanding and/or aptitude to learn about Wealth Management services and regulatory rules
• Excellent verbal and written communication skills; ability to concisely summarize and/or present complex ideas
• Strong interpersonal skills and ability to work in a team-oriented environment
• Strong leadership, and project management skills and ability to manage many competing priorities
• Strong project management and organizational skills - ability to prioritize and work under tight deadlines
• Strong data analytical skills
• Proficient in MS office suite (e.g., PowerPoint and Excel) and comfortable learning new programs/systems
• Proven track record of people management and developing high-performing teams
• Attention to detail and problem-solving skills to deliver consistent quality results
• Ability to thoroughly investigate issues and trends with a focused attention to detail to provide comprehensive solutions and remedies

• 10+ years of experience within Financial Services with involvement in Operational Risk
• Experience in Financial Services with preference to Wealth Management experience and business knowledge
• Experience with compliance a plus

• Bachelor's degree or equivalent work experience