Wealth Management Compliance Branch Examiner Morgan Stanley Baltimore

Job Description: • 2-minute read •
Primary Responsibilities
Morgan Stanley is seeking a strong candidate for its retail Branch Examination team. The individual will independently and effectively execute branch examinations of retail branch locations. Candidate will be expected to:

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-Conduct retail branch office inspections. The process includes obtaining background information, a physical inspection of the branch, a review of various reports and other documents maintained at the branch, interviewing financial advisors, support staff and branch management.
-Test, assess, document and report on the adequacy and effectiveness of the control environment in the branch. Identify business risks and recommend improvements.
-Conduct meetings with branch management to discuss preliminary findings and obtain formal management responses to exam items.
-Work with colleagues and branch examination management to determine whether a branch office is in compliance with regulatory and Firm policy and procedures.
-Manage multiple examinations and projects simultaneously.
-Stay up to date with industry and regulatory changes.

QUALIFICATIONS
Skills required (essential)
-Previous experience in Financial Services
-Prior examination experience a plus
-Ability to interact with diverse teams
-Strong interpersonal, communication and organizational skills
-Enthusiastic, self-motivated, independent, high energy individual
-Good analytical skills
-Ability to multi-task
-Ability to travel approximately 30 to 40% domestically

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