Senior WM Compliance Examiner - Branch Risk Oversight

Morgan Stanley; San Francisco (CA); On-site; USD 70,000 - 125,000; Full time

Benefits offered by this job

Medical and dental benefits

401(k)

Paid time off

Discretionary bonus potential

Job summary

Morgan Stanley is seeking a Branch Examiner in WM Compliance to perform independent oversight of risk-based branch examinations across retail locations. This director-level position involves evaluating compliance, testing sales practices, and ensuring the Firm’s regulatory integrity.

The ideal candidate will have a strong knowledge of the Financial Services Industry and experience in examinations. You will collaborate with branch management and travel approximately 30-40% domestically. A competitive salary range of $70,000 to $125,000 per year is offered.

Qualifications

• 3+ years of experience in the Financial Services Industry.
• Prior examination or testing experience is a plus.
• Willingness to travel domestically 30-40%.

Responsibilities

• Perform independent oversight and execution of risk-based branch examinations.
• Conduct onsite inspections and evaluate testing results.
• Collaborate with branch management to address risks and policy violations.

Skills

Knowledge of the Financial Services Industry

Analytical skills

Communication skills

Organizational skills

Critical thinking

Team orientation

Job description

Morgan Stanley is seeking a Branch Examiner in WM Compliance to perform independent oversight of risk-based branch examinations across retail locations. This director-level position involves evaluating compliance, testing sales practices, and ensuring the Firm’s regulatory integrity.

The ideal candidate will have a strong knowledge of the Financial Services Industry and experience in examinations. You will collaborate with branch management and travel approximately 30-40% domestically. A competitive salary range of $70,000 to $125,000 per year is offered.