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Morgan Stanley (MS) is a global financial services firmthat conducts its business through three principal businesssegmentsInstitutional Securities, Global Wealth Management via WealthManagement (WM), and Asset Management. WMs network includes approximately15,000 Financial Advisors with total client assets of over $1.5 trillion. WMprovides comprehensive financial advice and services to its clients includingbrokerage, investment advisory, financial and wealth planning, credit andlending, deposits and cash management, annuities, insurance, retirement andtrust services.
Morgan Stanley Private Bank, National Association (Bank orMSPBNA) provides deposit and lending products and services to serve the needsof Wealth Management clients and seeks a Compliance Quality Assurance (QA)Assistant Vice President within the First Line Operational Risk and ComplianceDepartment.
The Compliance QA Assistant Vice President will assist incompliance monitoring, documentation of reviews, and the reporting of reviewresults on regulatory areas of the loan origination process. The Compliance QASenior Analyst will conduct compliance reviews of loan level data or businessprocesses to evaluate the effectiveness of business practices in meetingregulatory compliance requirements and MSPBNA Policies. This role reportsdirectly to the Vice President of First Line Operational Risk and is based inCoppell, Texas.
The Compliance QA Assistant Vice President responsibilitiesinclude:
Support the development of Compliance QA review scripts andcreate linkage to MSPBNA Policies and regulatory requirements for residential mortgageloans.
Perform loan level documentation reviews of residentialmortgage loans for compliance with regulatory requirements and MSPBNA Policies.
Perform targeted reviews to determine root cause ofrecurring deficiencies and make recommendations.
Participate on assigned activities to assist the MortgageDivision to cure deficiencies and improve processes where applicable.
Participate in the partnership with the Second LineCompliance Quality Control function to promote consistency and uniformity of reviewscripts, error risk levels, and the identification of errors.
Perform assigned monitoring routines and create managementand committee-level reporting of results and trends.
Participate in the performance of process level assessmentsevaluating the design and effectiveness of controls implemented to mitigateregulatory and or operational risk.
Bachelors Degree in Finance, Accounting, or a relateddiscipline.
Experience in audit, compliance, and/or risk managementfunctions (5+ Years)
Strong knowledge of residential mortgage originationcompliance requirements, including federal and state regulations.
Certified Regulatory Compliance Manager (CRCM) Certificationis a plus
Experience with Fannie Mae requirements is a plus
Strong analytical, organizational skills and problem solvingabilities.
Strong verbal and written communication skills.
Strong interpersonal skills.
Strong risk assessment skills.
Data analysis and reporting skills.
Ability to work both independently and with team members,under tight deadlines.
Ability to work in a matrixed organization; leveragingresources across the organization to complete deliverables
Primary Location: Americas-United States of America-Texas-Dallas Work Locations: Job: Private Banking Organization: Morgan Stanley Job Posting: Feb 20, 2020