Wealth Management Branch Examiner

Perform 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. 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 personal 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. 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 At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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. We're committed to bringing passion and customer focus to the business. 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.