FA Conduct and Supervision Support Analyst, Analyst, Client Segments, Wealth Management

About Us:

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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The Wealth Management Conduct, Controls & Governance team, a group within the Wealth Management Client Segment Risk Organization is responsible establishing and maintaining controls that are designed to detect risks to clients and the Firm. In addition, this team lead efforts to implement supervisory frameworks across the Client Segment channel.

The Wealth Management Conduct, Controls & Governance group is seeking to hire a support role to join the team.

Primary Responsibilities:

The primary responsibilities of the role will be to assist the team in becoming more efficient and effective by assisting in the following:

• Analysis of Financial Advisor conduct
• Coordination of multiple committee meeting agendas, materials and execution of pre/post-meeting procedures
• Implementation of various conduct-based metrics data gathering and analysis projects
• Create visualizations to support ongoing efforts to demonstrate effective risk mitigation
• Perform quality assurance on several surveillance alerts the Team supports
• The candidate will collaborate closely with Special Investigations Unit, Fraud Operations, Legal and Compliance, Global Financial Crimes, Risk, Branches and Client Services to address pressing risks.

Qualifications:

• One to three years of experience in the financial industry or work experience in compliance, risk management, or consulting, previous Morgan Stanley Wealth Management experience a plus
• Exceptional verbal and written communication skills, including presentation experience and collaboration ability
• Strong aptitude for conduct risk principles and analysis
• Strong aptitude for WM investment products and related supervisory controls and processes
• High motivation and energy with ability to develop strong working relationships 
• Basic knowledge of Brokerage and Bank business and the various lines of business
• A calm demeanor and ability to work on multiple tasks simultaneously
• Self-starter with a strong attention to detail
• Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
• Advanced proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau
• Excellent problem-solving and business judgment
• Strong organizational, planning and time management skills
• Ability and willingness to voice ideas, in addition to following instructions
• Bachelor's Degree or equivalent

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.

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.