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Wealth Management - Corporate and Institutional Solutions Risk Officer - Policies & Procedures

Company: CTI Education Group
Location: Harrison
Posted on: February 25, 2021

Job Description:

Job Description - Wealth Management - Corporate and Institutional Solutions Risk Officer - Policies & Procedures (3166971) Job Description Wealth Management - Corporate and Institutional Solutions Risk Officer - Policies & Procedures Job Number: 3166971 Posting Date : Feb 19, 2021 Primary Location : Americas-United States of America-New York-Purchase Education Level : Bachelor's Degree Job : Wealth Management Employment Type : Part Time Job Level : Vice President Description 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. Corporate and Institutional Solutions (CIS) - Operational Risk, Wealth Management The CIS Operational Risk unit supports the CIS business lines which include Morgan Stanley at Work, Shareworks by Morgan Stanley, Retirement Services, Financial Wellness, Virtual Client Solutions, Digital Marketing, Executive Financial Services, Sales Enablement, Directed Share Program, etc. The CIS Operational Risk unit is a first line of defense function responsible for overseeing the operational risk and controls of Wealth Management's ClS business unit. This team partners with business stakeholders, second and third lines of defense to assess and report on operational risks, implement control processes and procedures, manage audits and exams, oversee risk management of vendors, manage business continuity plans, and conduct the annual Risk and Control Self-Assessment (RCSA). Responsibilities for this role will be:
--
--- Oversee and manage Policies and Procedures (P&Ps) framework and oversight for the entire CIS organization. Immediate core responsibilities will include: o Establish structure and framework for P&P management and communicate across Business and Risk partners--
o Create inventory of all existing P&Ps, and identify missing and expired documents which will need to be created
o Drive creation of missing P&Ps or updates to stale P&Ps:
--- Define "best practices" and guides for business partners which will assist in the creation of P&Ps
--- Provide training to business partners on how to best develop effective and complete P&Ps
--- Actively engage, assist business partners with documentation of processes and controls
--- Review completed P&Ps to ensure all components are complete and easily understood
--- Track and monitor initiative until inventory of P&Ps is complete and up to date; report on progress to senior management
o Establish storage and reference capabilities for P&P library which allow easy access to available documentation-- --- Play a supporting role with remaining CIS Risk COO functions, including but not limited to: o RCSA related activities; collaborate with business risk partners to complete scoping and rating of inherent risks, control trigger review and assessment, residual risk assessment, RCSA sign-off and other related activities o Incident management; assist with incident response, reviews, and reporting. Identify, review and analyze past incidents o Review of licensing/registration, email, mandatory vacation, entitlements, cash/non-cash compensation, test account practices and procedures, etc. To be successful in this role, the Vice President will need to:-- --- Create new Policy and Procedure framework and governance
--- Guide business partners in best practices around creation of policies and procedure documentation-- --- Assist in the documentation of applicable processes, risks and controls
--- Adeptness with gaining buy-in from multitude of cross-functional partners
--- Develop knowledge of the CIS business lines and related processes, risks, and controls
--- Manage projects as needed and assigned; Deliverables are often related to ad-hoc and unanticipated requests, so a successful candidate must be able to work in an environment with evolving priorities, making sound decisions about prioritization and communicating immediately where there are real risks to on-time delivery
--- Partner with second and third line control functions (Legal, Compliance, Audit, and Risk) on an ongoing basis
-- Qualifications Qualifications: --- At least 7-10 years of experience within Financial Services, with involvement in Operational Risk or Wealth management experience required --- Background in developing Policies and Procedures is strongly preferred --- Excellent written and verbal communications skills are required --- Detail-oriented and accurate --- Prior experience standing up successful new processes and functions would be valuable --- Knowledge of corporate services products like stock plan, retirement products, financial wellness, and call centers, a plus-- --- Strong leadership, and project management skills and ability to manage many competing priorities --- Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines --- Ability to work in a team environment, build and maintain a network of contacts and coordinate with a large number of stakeholders --- Proficiency in MS Office applications (e.g., Word, Excel, PowerPoint, Project)

Keywords: CTI Education Group, New York , Wealth Management - Corporate and Institutional Solutions Risk Officer - Policies & Procedures, Executive , Harrison, New York

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