Regional Risk & Controls 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

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.