What are the responsibilities and job description for the Governance and Controls Vice President position at Morgan Stanley?
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 ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
We're seeking someone to join our team as an Governance/Controls Management VP in the E*TRADE, MSVA & WSG Risk Officer team to support the Risk Management team in assisting management teams execute the conduct governance strategy, while serving as a key escalation point for complex AI and Control matters such as creation, retention, archive and decommission planning.
Join our Wealth Management Client Segment Risk team, an integral in-business risk unit dedicated to assessing and managing risks associated with Financial Advisors and the Self-directed platform within Wealth Management. The E*TRADE, MSVA & WSG Risk Officer team comprises centralized Risk Officers who oversee a comprehensive suite of controls monitoring potential sales practices, suitability, and regulatory compliance issues.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…
What You’ll Do In The Role
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.
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 ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
We're seeking someone to join our team as an Governance/Controls Management VP in the E*TRADE, MSVA & WSG Risk Officer team to support the Risk Management team in assisting management teams execute the conduct governance strategy, while serving as a key escalation point for complex AI and Control matters such as creation, retention, archive and decommission planning.
Join our Wealth Management Client Segment Risk team, an integral in-business risk unit dedicated to assessing and managing risks associated with Financial Advisors and the Self-directed platform within Wealth Management. The E*TRADE, MSVA & WSG Risk Officer team comprises centralized Risk Officers who oversee a comprehensive suite of controls monitoring potential sales practices, suitability, and regulatory compliance issues.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…
What You’ll Do In The Role
- Serve as an intermediate escalation point for EWS & ETPS Governance inquiries and offer guidance to stakeholders and team members to resolve complex issues.
- Monitor the E*TRADE, MSVA & WSG Risk Officer team’s performance, production and throughput, analyzing progress toward achieving quarterly and annual goals and ensuring timely delivery and accurate metrics reporting Management leadership and internal stakeholders.
- Ensure timely and accurate communication of controls, policies, and decommissioning requirements.
- Act as a liaison between business units, governance teams, and the Client Segment Risk organization at large helping interpret policy and escalate complex cases when necessary.
- Ensure processes and controls that are required to ensure ongoing compliance and ensure that their implementation is appropriately tracked.
- Assist with Senior Risk Officer Coverage
- Assist in the creation of AI Agents for Risk Officers use
- Leading continuous improvement and collaborating to deliver new controls solution
- Conducting awareness training with functional leaders and risk officers.
- 6 years' experience in the financial services industry in risk and supervisory experience.
- Advanced understanding of controls
- Bachelor’s degree
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
- Detail-oriented with the ability to interpret policy documents.
- Excellent written and verbal communication skills.
- Ability act with autonomy and manage multiple requests and prioritize effectively
- Proficiency in Microsoft 365 (Outlook, Teams).
- Ability to interact with senior management and drive client satisfaction
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.