Wealth Management Branch Examiner: Compliance Risk
Morgan-Stanley
Morgan Stanley is seeking a Branch Examiner to perform independent oversight and risk-based branch examinations across retail locations. You will evaluate testing results, interview staff, and discuss findings with management to strengthen supervisory practices and regulatory integrity. In this director-level role within the Branch Examinations Team, you will oversee projects, stay current on industry changes, and help develop corrective action plans while coordinating with local management and #J-18808-Ljbffr Morgan-Stanley
$70k - $125k
...’re seeking someone to join our team as a Branch Examiner in WM Compliance to perform independent oversight and execution of risk-based branch examinations across retail locations... ...by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk....RiskTemporary workWork at officeLocal areaRemote work- Morgan Stanley is seeking a Market Manager to drive revenue and profit, oversee risk, and lead branch teams in the New York market. You will recruit and retain Financial... ..., develop leadership, and ensure regulatory compliance across branches. The role reports to the Market...Risk
$120k - $160k
...banking, securities, investment management and wealth management services. The... ...of our culture.The National Risk Officer is responsible for a... ...wide variety of supervisory, compliance and risk functions. In... ...to a single Market, a single Branch, or multiple branches within...RiskTemporary workLocal areaWorldwide- ...The Branch Manager SAFE Act is a senior management professional responsible for providing full... ...planning. Appropriately assess risk when business decisions are made, demonstrating... ..., its clients and assets, by driving compliance with applicable laws, rules and regulations...RiskTemporary work
- ...seeking a Vice President to join Client Segment Risk, focusing on embedding responsible AI into Wealth Management supervise and risk workflows. You will define AI... ...cases, manage governance, and partner with Legal, Compliance, Technology, and Risk to ensure auditable,...Risk
$120k - $165k
...responsible for the supervision, management of Support Professionals and... ...within the assigned branches. Additional job responsibilities... ...partner with Market Sales and Risk teams to ensure execution in... ...on consistency, quality, and compliance with Firm policies and proceduresLead...RiskTemporary workHome office$180k - $250k
...experience through effective management of member feedback,... ..., and operational risk. The VP of Operations... ...of defense for Retail Branch and Contact Center operations... ...and internal compliance standards. Qualifications... ...-on support of NCUA examinations Working knowledge...RiskFull timeContract workPart timeWork at office- Morgan Stanley is seeking an analytical associate/analyst to join the ALM Risk team within Firm Risk Management in New York. You will identify and monitor interest rate risk in the banking book, develop SQL/Python tools, and support senior management with risk reporting...Risk
$84.2k - $101.1k
Manager Operations ATM ITM Managed Services Join Our Team For over 70 years, Teachers... ...and products for Operations/Retail branches across all phases including... ...for Managed Services Products Ensure compliance with Operations risk, Enterprise Risk Management and account...RiskFull timePart timeWork at officeImmediate start- ...responsibility, operations and project management, business development, client... ...engineering The GPI Branch Manager role requires strong... ...to assess and manage risk Develop and implement strategic... ...scheduling, and execution Ensure compliance with all regulatory...RiskContract workWork at officeLocal area
$24.5 - $34.72 per hour
...Required Degree 4 Year Degree Travel 30% Manage Others No Summary The Retail... ...services experience required Knowledge of Branch and back-office operations, policies,... ...Responsibilities Collaborate with Compliance, BSA, Operations Risk, Internal Audit and other business...RiskFull timeWork at officeImmediate start- Teachers Federal Credit Union in Hauppauge, NY is seeking a Project Manager to work cross-functionally with internal customers to scope... ...projects, build and update plans, track progress and budget, maintain risk logs, and present management reports on outcomes and status. The...Risk
- Teachers Federal Credit Union, located in Hauppauge, NY, is seeking a Manager to oversee corporate-wide third-party oversight and ensure policy compliance across the organization. The role supports risk-based governance, controls, and audit readiness. The position...Risk
$120k - $160k
...The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior... ...Local laws, Morgan Stanley Wealth Management policies, and other regulations... ...function for respective branch location(s)Facilitates any supervisory...RiskTemporary workLocal area$110k - $130k
Morgan Stanley Investment Management (“MSIM”), together with its investment advisory affiliates, operates in 25 countries with $1.9 Tn in... ...institutions, corporations and individuals worldwide.WE OFFERThe Global Risk & Analysis Group (GRA) team offers the opportunity to identify,...RiskTemporary workWorldwide$102.85k - $128.55k
...Full Time Required Degree 4 Year Degree Manage Others Yes Join Our Team For over 70 years... ...exercising administrative control, evaluating compliance with policies and standards. Education... ...and NCUA, FFIEC, business needs and risk acceptance compliance. Manages risk management...RiskFull timePart time- Morgan-Stanley is seeking an Analyst for the Risk Capital group based in New York. You will analyze counterparty credit risk for various financial instruments, deliver management information, and assist in regulatory capital calculations. The ideal candidate will have a...Risk
$100k - $140k
Firm Risk ManagementFirm Risk Management (FRM) supports Morgan Stanley in achieving its business objectives by partnering with business units across the Firm to deliver efficient, risk‑adjusted returns. FRM acts as a strategic advisor to senior management and the Board...RiskTemporary workWork at office- ...seeks an experienced Product Owner for Client Reporting in Wealth Management Platforms. The role focuses on shaping the reporting... ...-functional team, drive adoption, and partner with Legal, Risk and Compliance to deliver impactful reporting capabilities. This is a senior...Risk
- ...Platforms to lead the squad delivering the next-generation Wealth Management platform for Advisors. You will drive feature prioritization, write user stories, and partner with technology, risk, and compliance to ensure successful launches. In this role you will map workflows...Risk
- ...Full Time Required Degree 2 Year Degree Manage Others No Description Join Our Team For... ...and validates Salesforce ticket referrals, branch escalations, email escalations, other... ...Documents findings, partners with Enterprise Risk Management (‘ERM’) Team for exceptions...RiskFull timePart timeImmediate start
- ...Support Professionals and drive service excellence across branches. This role collaborates with Market Sales and Risk teams to execute service initiatives and ensure adherence to firm policies. You will mentor staff, manage budgets, and lead performance reviews while...Risk
$170k - $215k
POSITION SUMMARYThe Senior Risk Officer is responsible for a... ...wide variety of supervisory, compliance, and risk functions related... ...Local laws, Morgan Stanley Wealth Management policies, and other regulations... ...the Market Executive, other Branch Managers within the Market...RiskTemporary workLocal area$160k - $170k
...providing strategic financial leadership, operational business partnership, financial reporting, cost accounting oversight, compliance, risk management, and talent development. As a key member of the site leadership team, this role influences business strategy as a true...RiskTemporary work$142.1k - $236.8k
...Wealth Management Advisor Accountable for a revenue goal met through the acquisition of new clients from internal and external... ...goals and objectives are achieved. Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory...RiskTemporary workWork experience placement- Morgan Stanley Wealth Management seeks a Vice President to provide legal coverage for its Capital Markets and Private Markets businesses... ...securities transactional work and coordinating with Compliance, Risk and business units from Purchase, NY. A strong background...Risk
$190k - $200k
...primary focus of the Market Manager role is to drive... ...before taxes within their branch and other assigned... ...the market, and manage risk within their branch and... ...ethics and practices, and compliance with all Federal, State... ...offerings into Morgan Stanley Wealth Management products,...RiskTemporary workTraineeshipWork at officeLocal area$93k - $116.25k
Compliance Program Manager For over 70 years, Teachers Federal Credit Union has been committed to guiding members toward building a strong financial... ...Policy Development | Compliance Documentation | Compliance Risk Assessment | Governance, Risk & Compliance Software Client...RiskFull timePart timeWork at officeImmediate start$138.75k - $173.5k
...Full Time Required Degree 4 Year Degree Manage Others Yes Join Our Team For over 70 years... ...delivery, while maintaining full compliance with national mortgage laws, regulations,... ...growth strategies, production goals, and risk management standards. Education and/or Experience...RiskFull timePart timeImmediate startShift work$25.07 - $41.79 per hour
...member/partner. Specializes in our branch customer experience through lobby management, servicing and sales interactions... .../appointment, follow-up) and Risk Management (audit requirements, fraud... .... Adhere to applicable compliance/operational risk controls in accordance...RiskHourly pay
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