JOB LEVEL

Assistant Vice President:

TIER

NA

Morgan Stanley provides highly customized financial advice, investment solutions and brokerage services. Our Firm connects people, ideas and capital to help our clients achieve their financial aspirations. The talent and passion of our people are critical to our success. Together, we share a common set of values rooted in integrity and excellence.

Morgan Stanley’s Wealth Management business is one of the largest in the world with more than $6 trillion in client assets. The Client Segments Organization, within Morgan Stanley Wealth Management, is comprised of various client channels, providing services to both individual and institutional Clients. Some of the services include Financial Management, Equity Stock Plans, Retirement Plans, Financial Wellness, Marketing, and Reinvestment.

The Client Segment Exams and Operational Risk Team is a first line of defense function responsible for overseeing the operational risks and controls of Wealth Management’s Client Segments business units.

The team partners with business stakeholders, second and third lines of defense to assess and report on operational risks, implement control processes and procedures, manage audits and exams, oversee vendor risks, manage business continuity plans, and conduct the annual Non-Financial Risk Assessment (NFRA).

This team is actively growing and taking on more responsibilities, so we are looking for an individual who can handle change and growth in a fast-paced environment.

The Team is looking for a dynamic individual to help support Assessments and Data Management activities. This position provides support to various supervisory and operational risk functions with a focus on mitigating risk and improving the control environment.

Primary Responsibilities:

The role includes the following primary responsibilities:

• Serve as the primary assessments point of contact for client segment business aligned risk teams
• Identify and deconflict potential assessment overlap across client segment exams
• Support the planning and execution of individual client segment assessments, including clarification of exam scope, acquisition of risk data, review of self-identified issues, participation in exam meetings (as needed), and negotiation of draft reports and associated ratings
• Coordinate WM Field home office and market exams and ffacilitate associate field remedial actions
• Coordinate the build-out of assessments related process optimization tools and approaches
• Establish and maintain data governance standards to ensure the accuracy, consistency and security of data used in reporting including data collection, storage and retrieval
• Utilize advanced data analytics tools to gather, analyze and interpret data, providing actionable insights to stakeholders
• Provide guidance and support in interpreting metrics and making data-driven decisions
• Support the design and implementation of automated workflows including GenAI to optimize business operations and reporting

Knowledge, Skills, and Abilities

• Excellent verbal and written communication skills; ability to present complex ideas, concisely, to a senior audience
• Strong leadership, stakeholder management and influencing skills
• Strong interpersonal skills and ability to work in a team-oriented environment
• Strong analytical and problem-solving skills
• Strong project management skills with the ability to multitask and prioritize

Experience

• 6 Years of financial services experience, preferably within Wealth Management
• Experience with internal audit and/or compliance exams
• Familiarity with Operational Risk domain and key concepts
• Intermediate/Advanced Excel, PowerPoint, Word and Visio skills
• Understanding of Generative AI tools and capabilities

Education

• Bachelor’s degree or equivalent

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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: $85,000 and $140,000 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 Maryland (Statewide) discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

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).

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.