Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.The Field Service team is part of the WM Client Segments division. One of the primary goals of the Field Service team is to ensure that service professionals become ambassadors of Morgan Stanley. Field Service champions the service pillar of the Modern Wealth Management strategy by elevating the client experience. The team contributes its success to the strong partnerships it leverages across the Firm, the talented team members as well as the sharp focus on execution. Functions within the Field Service team include talent management, business management, risk and control, learning and development partnerships, training and communications partnerships, field liaison and feedback along with coverage of products and platforms. The Vice President position will join the Supervisory Efficiency & Service Platform Oversight team within the Field Service organization to support a variety of governance processes and strategic initiatives related to employee oversight, policy support and monitoring, as well as the design of metrics, processes, and controls to identify and supervise conduct risk analysis of field service roles. The role will work closely with a broad stakeholder base within Wealth Management including Regional Leadership Teams, Legal, Compliance, WM Risk, WM Client Segments Risk, Fraud Operations and other business partners including, but not limited to, the broader Field Service and WM Client Segments organization. The rolewill focus on allaspects of the risk and control liaison functions for the service organization such as engagement with Regional Leadership regarding the Risk and Control Self-Assessment, reassessing policies and procedures periodically with various business units, as well as performing administrative reporting functions for timekeeping controls, registration reporting and exception reviews.Primary Responsibilities:
· Drive the development and provide oversight for Field Service’s supervisory framework, inclusive of technology enhancements, new policy and procedure development and ongoing monitor reporting
· Support the Field Service EmployeeSupervisionCommittee process and execute all governance committee responsibilities - coordination of committee meeting agendas, materials and execution of post- meeting procedures
· Design and oversight of conduct supervisory controls and metrics
· Maintain the role as a dedicated lead on policy updates that will directly impact the Field Service organization as it relates to supervisory service professionals and their daily responsibilities
· Support the Risk & Control Self-Assessment for the Field Service Organization by maintaining the accuracy of the control profile and participating in annual testing program to ensure the effectiveness of existing controls
· Participate in reviews of risk and fraud escalations to evaluate training needs for the field as well as support the development of policy and procedure improvements in order to maintain a secure environment for our clients and the Firm
Qualifications:
BA or BS preferred
5 years of financial services experience (Field/Branch a plus); previous Wealth Management experience preferred
Prior project management or governance experience preferred
Ability to develop strong relationships
Highly motivated with a strong work ethic and a will to succeed
Strong written and verbal communication skill in both business and technical contexts
Strong analytical, process-oriented, problem-solving/issues-resolution skills
Strong organizational skills, planning and time management skills
Self-motivated and able to work in a high activity environment where the sharing of ideas and talents is encouraged and welcomed
Ability to work independently in a multi-tasking, deadline-driven environment and execute with high quality
Proficiency in Microsoft Office, PowerPoint, Excel, v-lookup
Expected base pay rates for the role will be between $110,000 and $185,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. 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.Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).Job: Wealth Management Title: Supervisory Efficiency & Platform Oversight VP Location: New York-Purchase Requisition ID: 3262643
