Director, Branch Examinations & WM Compliance

474 MS Services Group, Inc.; Town of Texas (WI); Hybrid; USD 70,000 - 125,000; Full time

Benefits offered by this job

Medical insurance

Dental and Vision

Paid Time Off

401(k)

Job summary

Morgan Stanley is seeking a Branch Examiner in WM Compliance to oversee risk-based branch examinations across retail locations. This director-level role partners with Compliance to strengthen supervisory practices and safeguard regulatory integrity for the firm.

The candidate will perform testing, interviews, and evaluation of controls, while coordinating corrective actions with branch staff. Domestic travel of 30–40% is required and FINRA licenses are a plus.

Qualifications

• Knowledge of the Financial Services Industry.
• Team-oriented with the ability to interact with diverse remote teams, staff and management.
• Strong communication, detail orientation, analytical and organizational skills.
• Objectivity with independent decision-making in Compliance testing procedures.
• Domestic travel approximately 30 to 40% required.
• 3+ years Financial Services Industry experience.
• FINRA licenses a plus.

Responsibilities

• Perform pre-exam testing by analyzing risk assessments and sampling per procedures.
• Conduct onsite inspections, review reports, and interview staff and management.
• Evaluate testing results and assess the control environment's effectiveness.
• Lead meetings with branch management to discuss findings and responses.
• Develop corrective action plans with management and key personnel.
• Assess regulatory compliance and firm policies across branches.
• Oversee multiple examinations and projects concurrently.
• Maintain up-to-date knowledge of industry and regulatory changes.

Skills

Risk-based testing

Regulatory knowledge

Analytical thinking

Communication skills

Travel readiness

Job description

Morgan Stanley is seeking a Branch Examiner in WM Compliance to oversee risk-based branch examinations across retail locations. This director-level role partners with Compliance to strengthen supervisory practices and safeguard regulatory integrity for the firm.

The candidate will perform testing, interviews, and evaluation of controls, while coordinating corrective actions with branch staff. Domestic travel of 30–40% is required and FINRA licenses are a plus.