Central Review Unit Risk Officer

711 MS Smith Barney, LLC; Salt Lake City (UT); Vor Ort; USD 120.000 - 190.000; Vollzeit

Zusammenfassung

Morgan Stanley seeks a Central Review Unit Risk Officer to execute comprehensive risk reviews, ensuring regulatory compliance and adherence to firm policies. The role collaborates with Compliance, Legal, and Field Risk to identify emerging risks and drive remediation.

Bachelor’s degree and 5–10 years of risk or compliance experience are expected, with Series 7/66 preferred. The position requires strong analytical and communication skills, the ability to manage large workloads, and proficiency in

Qualifikationen

• Bachelor's degree or equivalent work experience.
• Strong investigative and analytical capabilities.
• Familiarity with SEC, FINRA, and firm policies.
• Excellent written and verbal communication.
• Ability to identify risks and provide practical solutions.
• Ability to manage multiple tasks and deadlines.

Aufgaben

• Execute centralized supervisory and risk reviews using enterprise methodologies.
• Review alerts, exceptions, and indicators and document findings.
• Apply policies and regulatory requirements consistently across reviews.
• Identify emerging risks and propose remediation actions.
• Collaborate with Field Risk, Compliance, Legal, and Business partners to resolve matters.
• Prepare clear documentation and recommendations from reviews.
• Support regulatory examinations, audits, and control testing with analysis.
• Contribute to improvements in methodologies and reporting.
• Promote consistency and knowledge sharing across the unit.

Kenntnisse

Investigative skills

Regulatory knowledge

Written and verbal communication

Data analytics

Organizational skills

Problem-solving

Independent work

Time management

Risk awareness

Excel proficiency

Ausbildung

Bachelor's degree or equivalent

Tools

Excel

Jobbeschreibung

The Central Review Unit Risk Officer is a member of the Central Review Unit (CRU) and is responsible for executing a comprehensive suite of controls to monitor potential sales practices, suitability, and regulatory compliance issues. Through a consistent, standardized review framework, the Central Review Unit Risk Officer helps ensure the effective application of Firm policies, regulatory requirements, and supervisory practices across the organization. The Central Review Unit Risk Officer partners with Field Risk leadership, Compliance, Legal, and Business partners to conduct independent supervisory reviews, identify emerging risks and trends, recommend appropriate remediation, and promote consistent risk management practices across all markets. This role supports the Firm's centralized supervisory model by delivering high-quality, risk-based reviews that enhance oversight, improve consistency, and strengthen the overall control environment.

Duties & Responsibilities

• Execute centralized supervisory and risk reviews using established enterprise review methodologies and standards.
• Review supervisory alerts, exceptions, and risk indicators in a timely manner and document findings in accordance with Firm procedures.
• Apply Firm policies and regulatory requirements consistently across all assigned reviews, regardless of geographic location or market.
• Identify emerging risks, control gaps, trends, and opportunities for process improvement, escalating issues as appropriate.
• Partner with Field Risk, Compliance, Legal, and Business partners to resolve supervisory matters and support timely remediation.
• Prepare clear, well-supported documentation and recommendations resulting from centralized reviews.
• Support regulatory examinations, internal audits, and control testing by providing documentation, analysis, and subject matter expertise.
• Provide feedback that contributes to the continuous improvement of centralized review methodologies, procedures, reporting, and quality standards.
• Collaborate across the Central Review Unit to promote consistency, knowledge sharing, and best practices.
• Develop and maintain strong working relationships with stakeholders while operating independently from local market management.
• Contribute to enterprise initiatives that enhance supervisory effectiveness, operational efficiency, and risk governance.

Qualifications

• Strong investigative and problem-solving skills, with the ability to manage tasks from start to finish.
• Familiarity with SEC, FINRA, and firm compliance policies.
• Excellent written and verbal communication skills.
• Proficiency in identifying issues and trends, offering comprehensive solutions.
• Strong organizational skills to prioritize tasks and meet deadlines.
• Independent problem-solving capabilities.
• Capacity to manage large workloads while maintaining supervision integrity.
• Proactive approach to managing workload and daily tasks.
• Ability to assess the broader risk implications of supervisory activities.
• Flexibility to handle a diverse and dynamic workload.
• Advanced technological proficiency, particularly in Excel and data analytics tools.

Experience

5-10 years of industry experience, with a focus on risk or compliance. Advanced understanding of Alternative Investments and complex products is advantageous.

Education

Bachelor’s degree or equivalent work experience.

Licenses and Registrations

• Active Series 7 & 66 (or 65 and 63) required.
• Series 9 and 10 (or 8) preferred, or the ability to obtain within 60 days of hire.

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.

At Morgan Stanley, we advise, originate, trade, manage and distribute capital for people, governments and institutions, always with a standard of excellence and guided by our core values.

Morgan Stanley is dedicated to providing first-class service to our clients, in a way that reflects our commitment to creating a more sustainable future and fostering stronger communities around the world.

In each line of business, we strive to demonstrate our belief in the power of transformative thinking, innovative strategies and leading-edge solutions—and in the ability of capital to work for the benefit of all society.