Business Risk Management - Morgan Stanley - Purchase, NY

Risk is inherent in all activities conducted by the Wealth Management Investment Solutions businesses (i.e. Capital Markets, Traditional Investment Products and Alternative Investments, Insurance and Annuities), including the services and products delivered to clients, the technology and processes used to support them, and the staff ensuring the group’s effective operation. Operational Risk is the risk of loss resulting from inadequate or failed internal processes, people and systems, or from external events.

The members of the Business Risk Management team are viewed as subject matter experts in industry and regulatory developments. The team is responsible for coordination and responses to regulatory inquiries, regulatory exams, targeted assessments, litigations and arbitrations. In addition, the team owns any communications to field management, advisors and clients in relation to the regulatory inquiries within its scope. In addition, the team conducts in depth data analysis on various trading activity, client activity and Financial Advisor practices.

Candidates for this position should have a strong understanding of the legal/regulatory landscape in the financial industry. The candidate should have strong leadership skills, a strong understanding of the global financial markets, including fixed income, equities and structured products. Futures and Foreign Exchange knowledge is a plus. The fast-paced and intense environment requires an aptitude for analyzing and interpreting complex information from multiple sources in a timely manner, and presenting results to management. This position requires the candidate to prioritize key initiatives and drive results to meet strict deadlines.

Subject matter expert in industry/regulatory developments Partner with Business Risk product leads on regulatory inquiries, targeted assessments, litigations, arbitrations Perform daily reviews relating to Capital Markets products and the controls and policies that govern the business Conduct in depth data analysis for applicable business and trade activity Supervisory sampling review of sales ideas Review of existing Business Practices (Operational, Sales & Marketing, etc.) to determine needed enhancements/changes. Front-to-Back Analysis - Analyze the businesses products and practices to ensure compliance with current industry regulatory standards and best practices. Assist members of the team in various firm committees, including meeting preparation, data analysis and product reviews. Qualifications:
of Investment Solutions products including fixed income, equities, options,
futures, foreign exchange and derivatives Strong understanding of Regulatory landscapeStrong understanding of Compliance and Audit practicesStrong leadership skillsExcellent analytical and problem solving skills.Ability to work independently, promote teamwork and demonstrate sound
reasoning and judgment.Ability to drive results and meet deadlinesStrong organizational skills with the ability to multi-taskExcellent oral and written communication skills.Exemplary interpersonal and client service skills.Strong working knowledge of MS Office (Microsoft Word, Excel (including
pivot tables, Vlookups, etc.) and PowerPoint)).Series 7 & 66 licensing preferred of willingness to obtain
within 6 months.

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