Associate-Conduct Risk,US Banks (Wealth Management)

Morgan Stanley (MS) is a global financial services firm that conducts its business through three principal business segments-Institutional Securities, Global Wealth Management via Wealth Management (WM), and Asset Management. WM's network includes approximately 15,000 Financial Advisors with total client assets of over 1.5 trillion. WM provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit and lending, deposits and cash management, annuities, insurance, retirement and trust services. Morgan Stanley's U.S. Banks (Morgan Stanley Private Bank, National Association and Morgan Stanley Bank, N.A.) provides deposit and lending products and services to serve the needs of Morgan Stanley's Institutional and Wealth Management clients and seeks a Conduct Risk Associate as part of the Bank's First Line Operational Risk Organization. Key responsibilities Primarily responsible for conducting e-communication surveillance of the Bank's employees and daily risk oversight activities pertaining to the Bank's lending and deposit products. Conduct the daily sampling of e-communications of Bank Employees (including Home Office, Dual Employed Financial Advisors, and the Private Bank's Distribution Sales Team) Conduct daily and periodic monitoring activities and maintain accurate metrics and reporting. Escalation of potential internal policy violations and conduct related concerns to the Bank's Field Operational Risk Officers for secondary review and handling. Prepare and summarize results of offsite monitoring to the Bank's Conduct Risk Office Assist with ad-hoc risk requests from the Bank's Conduct Risk Office