DecaturALRecruiter Since 2001
the smart solution for Decatur jobs

Head of Morgan Stanley Wealth Management Monitoring

Company: Morgan Stanley
Location: Decatur
Posted on: September 12, 2020

Job Description:

Job Description - Head of Morgan Stanley Wealth Management Monitoring (3148802)

Job Description

Head of Morgan Stanley Wealth Management Monitoring

Job Number: 3148802

Posting Date : Aug 25, 2020

Primary Location : Americas-United States of America-New York-Purchase

Job : Compliance

Employment Type : Full Time

Job Level : Executive Director


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.

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

The candidate will join Morgan Stanley Wealth Management’s (WM) Compliance Department as a member of the Monitoring and Data Analytics Compliance team. In this role, the candidate will serve as the Head of Monitoring, a group dedicated to the oversight of Financial Advisor and Branch Supervisor activity. The candidate will have direct supervisory oversight of 4 employees and will oversee an overall team of 17 employees that utilize a variety of exception reports and automated surveillance system alerts to identify activity that may be indicative of unusual conduct, trading patterns, or potential violations of law, regulations, or internal policies.

Obtain a thorough understanding of the Global Monitoring Policies and Procedures, WM Risk organizations’ supervisory processes and the Compliance oversight controls to determine any necessary enhancements to the WM Monitoring program.

Build trust and establish open lines of communication with WM Risk management and other control stakeholders such as Legal, Global Financial Crimes, Global Monitoring Governance and Technology in order to facilitate agreement regarding the design and implementation of controls.

Work with the Head of Data Analytics Compliance to develop meaningful dashboards and metrics that can be used with internal management or for regulatory meetings.

Collaborate with WM Testing/Branch Exams management to determine patterns/trends and to ensure applicable findings are shared across both groups, and various Compliance advisory teams to share any surveillance trends or issues, as well as responding to internal audit or regulatory requests.

Oversee the Monitoring Governance process, inclusive of the Quality Assurance Program.

Conduct periodic metrics “deep-dives” to identify issues or trends requiring further training, procedural updates, or recalibration of key performance indicators (KPIs).

A strong understanding of SEC and FINRA regulations, with a particular focus on sales practice and suitability concerns around retail products in brokerage and advisory accounts.

· Working knowledge of Futures, Annuities, Structured Investments, Alternative Investments, Exchange-Trades Products, Fixed Income, Equities, Options, Unit Investment Trusts and Mutual Funds.

· A thorough understanding of conflicts of interest and business practices typically associated with a broker-dealer

· Proven ability to take ideas forward and to challenge others with integrity and maturity.

· A strong focus on the mechanics of a control environment including escalation and remediation of issues.


Bachelor’sDegree required; JD or MBA a plus but not required

10+ years relevant work experience in the financialservices industry in Compliance or related fields, or with a securitiesexchange or regulator

Series7, 24 or 9/10 preferred, but not required.

Keywords: Morgan Stanley, Decatur , Head of Morgan Stanley Wealth Management Monitoring, Other , Decatur, Alabama

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Other Other Jobs

Children's of Alabama: Staff Nurse Float Pool
Description: Job Summary The Staff Nurse is a professional nurse who, with minimal
Company: Children's of Alabama
Location: Birmingham
Posted on: 09/22/2020

Licensed Health Insurance Agent - Get that cheddar while working from home!
Description: Assurance has opened up 100 spots nationally for Licensed Health agents to join our platform by 9/30 Join the revolutionary ASSURANCE platform in time to have the best Open Enrollment Period OEP (more...)
Company: ASSURANCE Independent Agents
Location: Birmingham
Posted on: 09/22/2020

Description: ABOUT By the very nature of their duties, Navy Nurses quickly rise to the top of their profession. They provide care, not only for military servicemembers and their families, but also for people in (more...)
Company: Navy
Location: Birmingham
Posted on: 09/22/2020

Cryptologic Technician
Description: ABOUT Enlisted Sailors in the Navy Cryptology community analyze encrypted electronic communications, jam enemy radar signals, decipher information in foreign languages and maintain state-of-the-art (more...)
Company: Navy
Location: Birmingham
Posted on: 09/22/2020

Brightstar: Certified Nursing Assistant (Cna) Rochester Hills
Description: Are you looking for a CNA job where you can make a difference in peoples lives Do you want to work for a home care agency that truly cares about you Thats where you can shine. We are proud to offer (more...)
Company: Brightstar
Location: Birmingham
Posted on: 09/22/2020

Insurance Representative - Troy, MI
Description: Quick Facts: Insurance Sales New and existing Clients Leadership Positions Available Hours: Monday - Friday 8-5 Client and Customer facing role Actively Interviewing during COVID-19 Virtual (more...)
Company: Aflac Regional Office
Location: Birmingham
Posted on: 09/22/2020

Warehouse Worker (Earn $15/hr or More)
Description: Warehouse Team Member Location: Shelby Township, MI, Sterling Heights, MI and Pontiac, MI Job opportunities vary by location. We update postings daily with open positions. Hourly pay rate: (more...)
Company: Amazon
Location: Birmingham
Posted on: 09/22/2020

Navy Chaplain
Description: ABOUT The Navy Chaplain Corps boasts more than 800 Navy Chaplains from more than 100 different faith groups, including Christian, Jewish, Muslim, Buddhist and many others. Each Chaplain is also a Navy (more...)
Company: Navy
Location: Birmingham
Posted on: 09/22/2020

Special Warfare Combatant-Craft Crewmen
Description: ABOUT Special Warfare Combatant-Craft Crewmen SWCC are specially trained to operate on and around rivers and coastal regions around the world. Wielding extreme firepower and a deadly skill set, SWCC (more...)
Company: Navy
Location: Birmingham
Posted on: 09/22/2020

Navy Diver
Description: ABOUT Their accomplishments are epic. Their expertise is unrivaled. No other force is more intensely trained to succeed in the perilous world of underwater adventure. Each assignment they take on is (more...)
Company: Navy
Location: Birmingham
Posted on: 09/22/2020

Log In or Create An Account

Get the latest Alabama jobs by following @recnetAL on Twitter!

Decatur RSS job feeds