Wealth Management Compliance Examiner - Branch Risk Oversight

Morgan Stanley; Houston (TX); On-site; USD 70,000 - 125,000; Full time

Benefits offered by this job

Medical, Prescription Drug, Dental and Vision Insurance

401(k) Retirement Plan

Paid Time Off and Holidays

Discretionary bonus component

Job summary

Morgan Stanley is seeking a Branch Examiner in Houston, TX, to perform independent oversight of risk-based examinations in retail locations. The role involves conducting inspections, assessing compliance, and collaborating with branch management.

Qualified candidates should have 3+ years of experience in the financial services industry, strong analytical skills, and the ability to travel up to 40%. The salary ranges from $70,000 to $125,000 annually, along with a comprehensive benefits package.

Qualifications

• 3+ years Financial Services Industry Experience needed.
• Prior examination or testing experience is a plus.
• Domestic travel approximately 30 to 40% required.

Responsibilities

• Perform pre-exam testing and analyze risk assessments.
• Conduct onsite branch inspections and review reports.
• Evaluate testing results and assess branch control environments.
• Discuss preliminary findings with branch management.
• Develop comprehensive corrective action plans for issues identified.
• Ensure compliance with regulatory requirements and Firm policies.

Skills

Knowledge of the Financial Services Industry

Team-oriented

Strong communication skills

Analytical and critical thinking

Detail-oriented

Ability to make independent decisions

Self-motivated

Job description

Morgan Stanley is seeking a Branch Examiner in Houston, TX, to perform independent oversight of risk-based examinations in retail locations. The role involves conducting inspections, assessing compliance, and collaborating with branch management.

Qualified candidates should have 3+ years of experience in the financial services industry, strong analytical skills, and the ability to travel up to 40%. The salary ranges from $70,000 to $125,000 annually, along with a comprehensive benefits package.