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Director, Oversight, Monitoring and Testing
Ms MsMorgan Stanley branch examiner overseeing risk-based compliance examinations for retail wealth-management branches. Evaluating controls, identifying risks, and driving corrective action across branch offices.
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in compliance testing and risk assessment within the financial services industry, with strong analytical and communication skills to effectively evaluate branch control environments and collaborate with management on corrective actions.
Highest-signal resume keywords
Financial Services Industry KnowledgeCompliance Testing ProceduresAnalytical SkillsCommunication SkillsRisk Assessment
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk AssessmentTesting ProceduresBranch InspectionsDocument ReviewCorrective Action PlansRegulatory ComplianceData AnalysisProject ManagementSample Selection CriteriaEvaluation of Testing Results
Soft Skills
Detail-OrientedCritical ThinkingOrganizational SkillsIndependent Decision-MakingInterpersonal Skills
Certifications & Qualifications
FINRA Licenses
Industry Keywords
Financial ServicesBranch ManagementPolicy ViolationsBusiness RisksEthical StandardsIntegrityRemote TeamsDomestic TravelRegulatory ChangesCompliance
About the role
Key responsibilities & impact- Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples, and reviewing documentation
- Conduct onsite branch inspections across retail branch offices
- Review electronic and physical reports and documents
- Interview financial advisors, support staff, and branch management
- Evaluate testing results and assess the adequacy and effectiveness of branch control environments
- Hold meetings with branch management to discuss preliminary findings, identify root causes, and obtain formal responses
- Collaborate with local management and key personnel to address business risks and policy violations
- Develop corrective action plans to facilitate timely remediation
- Collaborate with branch examination management to assess compliance with regulatory requirements and Firm policies
- Oversee multiple examinations and projects concurrently
- Maintain up-to-date knowledge of industry and regulatory changes
Requirements
What you’ll need- Knowledge of the financial services industry
- Prior examination or testing experience is a plus
- Ability to interact with diverse remote teams, branch staff, and management
- Strong communication, detail-oriented, analytical, critical-thinking, and organizational skills
- Objectivity and ability 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
- 5+ years of financial services industry experience
- FINRA licenses are a plus
Benefits
Comp & perks- Comprehensive employee benefits and perks
- Support for employees and their families at every point along their work-life journey
- Opportunities for internal mobility across the business
- Equal opportunity and commitment to diversity and inclusion