SRU Risk Analyst jobs in United States
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Morgan Stanley · 19 hours ago

SRU Risk Analyst

positionColumbus, OH
timeFull-time
remoteOnsite
senioritySenior Level
date5+ years exp

Morgan Stanley is a global financial services firm seeking a Risk Analyst for their Service Review Unit (SRU). The role involves overseeing account opening processes, ensuring compliance with policies, and resolving complex risk-related issues while collaborating with internal partners.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Assist with the update and development of policies, procedures, technology enhancements and ensure they are aligned with departmental controls
Collaborate with compliance, legal, and risk teams to ensure alignment with regulatory, firm, and departmental policies, while jointly analyzing and resolving escalations and exceptions on a case-by-case basis
Keep current on SEC/FINRA and Compliance policies and procedure changes
Reviewing the next day oversight report(s) with focus on compliance with firm policies and procedures
Identify any risk trends, issues, or patterns that are detected from various aspects of daily responsibilities
Assist with the periodic internal risk review self-assessments
Resolve escalated issues and/or provide additional back up to other Regional Supervisors when necessary
Provide world class customer service to both field facing and internal counterparts in all interactions including interactions with Senior Management
Periodic touch points with Department and SRU Management to ensure consistency across sites and SRU departments
Identify and provide risk-based training to SRU employees when necessary
Other duties as assigned

Qualification

Series 7Risk management experienceMicrosoft ExcelMorgan Stanley policiesData visualization softwareCustomer servicePrioritizationDecision-making skillsCollaboration

Required

Series 7, 63 or 66, 9 and 10 or equivalent required
5-10 years industry experience
Confidence and decision-making skills that provide ability to make calls in ambiguous situations
Ability to prioritize a high volume of activity in a demanding environment across multiple time zones
Appropriate identification and escalation of issues to mitigate risk

Preferred

Knowledge of Morgan Stanley and Regulatory Client Onboarding policies
Previous risk management or related supervisory experience
Field (branch) experience a plus
Basic knowledge of Morgan Stanley and ETRADE systems
Strong technical skills, including proficiency in Microsoft Excel and the ability to utilize and incorporate AI technologies
Familiarity with data visualization software such as Tableau

Benefits

Some of the most attractive and comprehensive employee benefits and perks in the industry

Company

Morgan Stanley

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Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
dateFounded in 1935
location
New York, New York, USA
people-size10001+ employees
web-link
http://www.morganstanley.com

Funding

Current Stage
Public Company
Total Funding
unknown
1997-02-05IPO

Leadership Team

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James Gorman
Chairman and CEO
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Ted Pick
Chief Executive Officer (CEO)

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