Regional Control Associate

Morgan Stanley; Florida; On-site; USD 85,000 - 120,000; Full time

Job summary

Morgan Stanley in Florida seeks a Regional Control Associate to support regional risk and service initiatives. The role coordinates audit practices, oversees approvals, and assists in day-to-day control activities across the region.

This position emphasizes training, process standardization, and remediation efforts with data analytics to improve efficiency and compliance. Travel within the region is expected.

Qualifications

• Four-year college degree or professional certification preferred.
• Active securities licenses as listed (Series 7/9/10/66/63/65).
• Strong attention to detail and relationship-building abilities.
• Excellent written and verbal communication skills.

Responsibilities

• Manage business and service initiatives to support regional risk and service teams.
• Support Branch Examinations and training opportunities across the Region.
• Conduct control testing and review market self-assessments for audit readiness.
• Liaise between Market Risk, MRBSOs and ARRBSO/RRBSO for escalations.
• Review regional approvals and oversee service controls with timely reviews.
• Drive remediation with data analytics and reporting to achieve results.
• Standardize procedures using national best practices and coach leadership.

Skills

Attention to detail

Relationship management

Communication skills

Problem solving

Time management

Travel willingness

Education

Four-year college degree or professional certification

Active Series 7, Series 9/10, Series 66 or Series 63/65 licenses

Job description

The Regional Control Associate works closely with the Regional Risk and Business Service Officer (RRBSO) and Associate Regional Risk and Business Service Officer (ARRBSO) to support business and service initiatives across the Region. The Regional Control Associate is responsible for the coordination, oversight and tracking of Market and/or Branch audit practices related to service functions, in addition to assisting in day-to-day approvals that flow through the Region. The role includes management of business and service projects, as well as training and development initiatives.

DUTIES and RESPONSIBILITIES

• Primary responsibility is to manage business and service initiatives to support the Regional Risk and Service team as an extension of the RRBSO and ARRBSO(s)
• Provide support to Market Management during Branch Examinations to ensure the exam report clearly demonstrates supervisory function and leverage exam findings to identify training opportunities for entire Region
• Conduct office visits to execute periodic control testing and review market self-assessment testing related to audit readiness program
• Act as a liaison between the Market Risk and Service Teams and the ARRBSO/RRBSO to assist in escalations
• Review and action various regional approvals requiring attention (e.g., Pricing exceptions (lending/advisory), Entitlements Provisioning and Reporting, 4th Party Checks, Credit Adjustments, Entertainment and Conferences)
• Oversee and execute service controls in partnership with the Market Risk and Business Service Officers (MRBSOs) to help ensure timeliness and completeness of reviews
• Manage remediation efforts which are inclusive of data analytics and reporting in order to drive results
• Standardize operating procedures, leveraging national best practices and guidance in support of coaching and training the service leadership team (Business Service Officers and Service Managers)
• Administer other duties delegated by the Regional Management Team including but not limited to managing guardianship adjustments, large error reporting, fraud escalations, state registration waivers, AFG, and executing on strategic firm and regional priorities

EDUCATION, EXPERIENCE, KNOWLEDGE, and SKILLS

Education and/or Experience

• Four-year college degree or professional certification preferred
• Previous industry management experience
• Active Series 7 (GS), Series 9 and Series 10 (SU), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required
• Other licenses as required for the role or by management

Knowledge/Skills

• Strong attention to detail
• Ability to manage relationships, motivate and lead groups of people at various levels
• Effective written and verbal communication skills
• Ability to prioritize and resolve complex problems and elevate as necessary
• Ability to provide comprehensive solutions to complex issues
• Exceptional organizational and time management skills
• Exceptional conflict resolution skills
• Ability to travel within the Region and Home Office as needed
• Must be decisive and comfortable working in a fast-paced environment
• Proactive to identify processes and procedures to improve efficiency

Reports To

• Designated Regional Leadership

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.