Wealth Management - Corporate and Institutional Solutions Risk Officer - Policies & Procedures
Company: CTI Education Group
Location: Harrison
Posted on: February 25, 2021
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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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