Jobs search

Branch Examiner, WM Compliance

Morgan Stanley • Full-time • Baltimore, MD,US, US • 4w ago

Perform pre-exam testing by analyzing risk assessments, establishing sample selection criteria, testing selected samples per departmental procedures and reviewing relevant documentation. - Conduct onsite branch inspections, review electronic and physical reports and documents, and interview financial advisors, support staff and branch management. - Leverage your expertise and judgment to evaluate testing results and assess the adequacy and effectiveness of the branches control environment. - Hold meetings with branch management to discuss preliminary findings, identify root causes of noted issues, and obtain formal responses to exam results. - Collaborate with local management and key personnel to address identified business risks and policy violations and develop comprehensive corrective action plans to facilitate the timely remediation of identified issues. - Collaborate with branch examination management to assess whether a branch office complies with regulatory requirements and Firm policies and procedures. - Oversee multiple examinations and projects concurrently. - Maintain up-to-date knowledge of industry and regulatory changes. - Prior examination or testing experience a plus - Team-oriented with the ability to interact with diverse remote teams, branch staff and management - Strong communication, detail oriented, analytical, critical thinking and organizational skills - Objectivity with the skill 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 We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Salary range for the position: $70,000 and $125,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Internal Applicants Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here.