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Click here or scroll down to respond to this candidateCandidate's Name
EMAIL AVAILABLEStreet Address Ashland RoadSummit, NJ Street Address
PHONE NUMBER AVAILABLEEducationArizona State University, Tempe, ArizonaW.P. Carey School of BusinessBachelor of Science, Information ManagementExperienceMay 2005- April 2024Morgan Stanley, Complex Risk Officer -Vice PresidentResponsible for a wide variety of supervisory, compliance, and risk functions. Accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.Surveillance and SupervisionPrimary responsibility for all risk, supervisory, and compliance function for respective branch location(s)Facilitated any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk OfficerFocused on business ethics and regulatory and compliance practicesProvided coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environmentEnsured proper procedures are in place to ensure that approvals are handled appropriately and timely Risk Management/Compliance/LegalMonitored and implemented procedures to manage all facets of risk, including data securityFacilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulationsLiaises with the Legal and Compliance Division with customer complaints and litigationTogether with the Complex Manager and Senior Complex Risk Officer, ensured appropriate supervisory coverage is maintained at all timesOversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has procedures in placeSupported the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediatedWorked with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is takenResponsible for proactive client contact in determining suitability and managing riskActive involvement with the region regarding matters presented to the Credit CommitteePrimary source for intelligence on risk in regard to clients and FAs AdministrativeWorks closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.Assisted in the review and on boarding of FA recruits Education and/or ExperienceActive Series 7, 9,10,63, 66 and 3 Knowledge/Skills Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures Effective written and verbal communication skills Strong attention to detail Ability to prioritize and resolve complex problems and escalate as necessary Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies Evidence of strong leadership capabilities or previous supervisory experience Ability to organize and prioritize workflow and assignments in a deadline oriented environment Ability to interact with Financial Advisors and clients Excellent judgment and the ability to be discreet in all matters Strong work ethicSpecial SkillsProficient in Microsoft Office, Tableau and Alladin |
