SRU Risk Analyst

Description:

The Risk Analyst will exercise authoritative supervisory oversight of account opening and maintenance processes within Principal Review Department (PRD) under the Service Review Unit (SRU) umbrella. This role demands decisive decision-making to ensure strict adherence to regulatory, firm, and departmental policies and procedures. The analyst will spearhead the review of daily supervisory reports, provide clear policy and procedure guidance, and resolve complex risk-related issues and approval errors in collaboration with SRU leadership and internal partners. The analyst will need to provide clear and decisive guidance for escalations and exceptions while thoughtfully balancing service versus risk. Additionally, the analyst will proactively support or provide backup coverage to other risk analysts as needed to maintain operational excellence.

Responsibilities Include:

• Assist with the update and development of policies, procedures, technology enhancements and ensure they are aligned with departmental controls

• Collaborate with compliance, legal, and risk teams to ensure alignment with regulatory, firm, and departmental policies, while jointly analyzing and resolving escalations and exceptions on a case-by-case basis

• Keep current on SEC/FINRA and Compliance policies and procedure changes

• Reviewing the next day oversight report(s) with focus on compliance with firm policies and procedures

• Identify any risk trends, issues, or patterns that are detected from various aspects of daily responsibilities

• Assist with the periodic internal risk review self-assessments

• Resolve escalated issues and/or provide additional back up to other Regional Supervisors when necessary

• Provide world class customer service to both field facing and internal counterparts in all interactions including interactions with Senior Management

• Periodic touch points with Department and SRU Management to ensure consistency across sites and SRU departments

• Identify and provide risk-based training to SRU employees when necessary

• Other duties as assigned

Requirements:

• Series 7, 63 or 66, 9 and 10 or equivalent required

• 5-10 years industry experience. Field (branch) experience a plus

• Confidence and decision-making skills that provide ability to make calls in ambiguous situations

• Knowledge of Morgan Stanley and Regulatory Client Onboarding policies preferred

• Previous risk management or related supervisory experience preferred

• Basic knowledge of Morgan Stanley and *ETRADE systems preferred

• Ability to prioritize a high volume of activity in a demanding environment across multiple time zones

• Appropriate identification and escalation of issues to mitigate risk

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. 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.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).