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Company Profile Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Primary Responsibilities Morgan Stanley is seeking a strong candidate for its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch locations. Candidate will be expected to: -Conduct retail branch office inspections. The process includes obtaining background information, a physical inspection of the branch, a review of various reports and other documents maintained at the branch, interviewing financial advisors, support staff and branch management. -Test, assess, document and report on the adequacy and effectiveness of the control environment in the branch. Identify business risks and recommend improvements. -Conduct meetings with branch management to discuss preliminary findings and obtain formal management responses to exam items. -Work with colleagues and branch examination management to determine whether a branch office is in compliance with regulatory and Firm policy and procedures. -Manage multiple examinations and projects simultaneously. -Stay up to date with industry and regulatory changes.
Skills required (essential) -Previous experience in Financial Services -Prior examination experience a plus -Ability to interact with diverse teams -Strong interpersonal, communication and organizational skills -Enthusiastic, self-motivated, independent, high energy individual -Good analytical skills -Ability to multi-task -Ability to travel approximately 30 to 40% domestically