Wealth Management Compliance Branch Examiner
Position Description
Morgan Stanley is seeking a strong candidate for its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch locations. Candidate will be expected to:
- Conduct retail branch office inspections. The process includes obtaining background information, a physical inspection of the branch, a review of various reports and other documents maintained at the branch, interviewing financial advisors, support staff and branch management.
- Test, assess, document and report on the adequacy and effectiveness of the control environment in the branch. Identify business risks and recommend improvements.
- Conduct meetings with branch management to discuss preliminary findings and obtain formal management responses to exam items.
- Work with colleagues and branch examination management to determine whether a branch office is in compliance with regulatory and Firm policy and procedures.
- Manage multiple examinations and projects simultaneously.
- Stay up to date with industry and regulatory changes.
Skills Required
- Previous experience in Financial Services
- Ability to interact with diverse teams
- Strong interpersonal, communication and organizational skills
- Enthusiastic, self-motivated, independent, high energy individual
- Good analytical skills
- Ability to multi-task
- Ability to travel approximately 30% domestically
Skills Desired
- Prior examination experience a plus
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