Regional Risk & Controls Specialist

Morgan-Stanley; Florida; On-site; USD 90,000 - 130,000; Full time

Job summary

Morgan Stanley in Florida seeks a Regional Control Associate to support regional risk and service initiatives. You will coordinate audit practices, assist in branch exa minations, and drive remediation through data analytics and reporting.

This role requires licensing and strong communication across executives and teams. Responsibilities include testing, escalation, and standardization of procedures to align with national best practices, with travel within the region as needed and collaboration

Qualifications

• Four-year college degree or professional certification preferred.
• 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.

Responsibilities

• Coordinate and oversee regional audit practices for service functions.
• Support Branch Examinations to demonstrate supervisory function and address findings.
• Conduct periodic control testing and review market self-assessment testing for audit readiness.
• Escalate issues to RRBSO/ARRBSO and liaise with Market Risk and Service teams.
• Manage remediation efforts with data analytics to drive regional results.

Skills

Attention to detail

Effective written and verbal comm

Project coordination

Ability to travel regionally

Lead and motivate teams

Education

Four-year college degree or professional certification preferred

Active Series 7 (GS), Series 9 and Series 10 (SU), and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA) required

Job description

Morgan Stanley in Florida seeks a Regional Control Associate to support regional risk and service initiatives. You will coordinate audit practices, assist in branch exa minations, and drive remediation through data analytics and reporting.

This role requires licensing and strong communication across executives and teams. Responsibilities include testing, escalation, and standardization of procedures to align with national best practices, with travel within the region as needed and collaboration