Branch Examiner, WM Compliance
Morgan Stanley
full-time
Posted on:
Location Type: Remote
Location: Maryland • United States
Visit company websiteExplore more
Salary
💰 $70,000 - $125,000 per year
About 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 your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches 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 the 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.
Requirements
- 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 to 40% required
- 3+ years Financial Services Industry Experience
- FINRA licenses a plus
Benefits
- 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 consistent with state and local law, Parental Leave and 20 Vacation Days annually)
- 10 Paid Holidays
- 401(k)
- Short/Long Term Disability
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
risk assessmentstesting procedurescompliance testingdata analysis
Soft Skills
communicationanalytical skillscritical thinkingorganizational skillsobjectivityindependent decision-makingteam-orientedinterpersonal skillsself-motivatedethical standards
Certifications
FINRA licenses