Wealth Management Branch Examiner

Morgan Stanley; Miami (FL); Vor Ort; USD 70.000 - 125.000; Vollzeit

Benefits dieser Stelle

Discretionary incentives

Comprehensive benefits

Paid time off

Vacation days

Health plan

401(k)

Zusammenfassung

Morgan Stanley is seeking a Branch Examiner in WM Compliance to perform independent oversight of risk-based branch examinations across retail locations. This is a director-level role within the Branch Examinations Team, focusing on testing, assessment, and remediation of supervisory processes to safeguard regulatory integrity.

The Role involves pre‑exam testing, onsite inspections, collaboration with management, and maintaining industry knowledge.

Qualifikationen

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

Aufgaben

• Perform pre-exam testing by analyzing risk assessments and sampling.
• Conduct onsite branch inspections and review reports and documents.
• Evaluate test results and assess control environment effectiveness.
• Hold meetings with branch management to discuss findings and responses.
• Collaborate to address risks and develop corrective action plans.
• Assess regulatory compliance with Firm policies and procedures.
• Oversee multiple examinations and projects concurrently.
• Maintain up-to-date knowledge of industry and regulatory changes.

Kenntnisse

Financial Services Industry knowledge

Examination/testing experience

Team-oriented

Strong communication

Detail-oriented

Analytical

Critical thinking

Organizational skills

Objectivity

Ethical standards

Domestic travel 30-40%

FINRA licenses a plus

Jobbeschreibung

We’re seeking someone to join our team as a Branch Examiner in WM Compliance to perform independent oversight and execution of risk‑based branch examinations across retail locations, serving as a key partner in strengthening supervisory practices and safeguarding the Firm’s regulatory integrity.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory, and franchise risk. This is a director‑level position within the Branch Examinations Team, responsible for performing risk‑based inspections of retail branch offices, including evaluating books and records, testing for sales‑practice compliance, money movement, and assessing the effectiveness of supervisory processes and procedures.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve clients and communities in more than 40 countries.

The Role

• Perform pre‑exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures, and reviewing relevant documentation.
• Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff, and branch management.
• Leverage expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branch’s control environment.
• Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results.
• Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate timely remediation of identified issues.
• Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures.
• Oversee multiple examinations and projects concurrently.
• Maintain up‑to‑date knowledge of industry and regulatory changes.

Qualifications

• Knowledge of the Financial Services Industry.
• Prior examination or testing experience a plus.
• Team‑oriented with the ability to interact with diverse remote teams, branch staff, and management.
• Strong communication, detail‑oriented, analytical, critical‑thinking, and organizational skills.
• Objectivity with the skill to make independent decisions associated with Compliance testing procedures.
• Enthusiastic, disciplined, and self‑motivated.
• Ethical standards, sound judgment, and integrity.
• Domestic travel approximately 30‑40% required.
• 3+ years of Financial Services Industry experience.
• FINRA licenses a plus.

Benefits and Compensation

Salary range for the position: $70,000 - $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award and participation in the relevant business unit’s incentive compensation plan. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability.

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.