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US Banks Client Guardianship Office, Vice President

Company: Morgan Stanley
Location: Purchase
Posted on: June 6, 2021

Job Description:

Morgan Stanley ("MS") is a global financial services firm that conducts its business through three principal business segments-Institutional Securities Group ("ISG"), 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.

The US Banks. Morgan Stanley Private Bank, National Association ("MSPBNA") and Morgan Stanley Bank, N.A. ("MSBNA") provide cash management and lending products and services to serve the needs of WM & ISG clients and seeks a Vice President ("VP") as part of the US Banks Client Guardianship team. The Client Guardianship team reports into the Head of Business Risk Management and is responsible for oversight of the U.S. Banks' client data and information. In addition, the role advocates for the U.S. Banks clients' interests, from a client-risk perspective, through all aspects of our business processes. The VP of Client Guardianship will report to the Head of Client Guardianship for the US Banks and will be assist in and/or be responsible for management of relevant program elements.

The VP will be based in Purchase, NY.

Key Responsibilities:

  • Assist the Head of Client Guardianship in the implementation of the Banks' new Client Guardianship function, including partnering with other program leads, business units, legal, risk, and compliance teams as necessary
  • Represent the Client Guardianship function in relevant governance forums, either through direct leadership of these forums or through participation
  • Understand policies, procedures, and processes critical to the Client Guardianship function, including recommending and drafting enhancements to policies or procedures as needed
  • Assist in the definition of monitoring activities, reporting activities and metrics management, with responsibility for related deliverables, as needed
  • Represent Client Guardianship in Bank and Firm programs and exams, including but not limited to Risk Control Self-Assessment (RCSA) processes, internal audits, and compliance testing.
  • Execute on deep-dive analysis of data relevant to the Client Guardianship function; synthesize finds and propose recommendations for enhancements, as needed
  • Minimum 5-7 years of professional experience in financial services industry, risk management; experience in risk management, information security/privacy, or ethics office experience preferred.
  • Strong analytical, quantitative, and investigative problem-solving abilities; with the demonstrated ability to make actionable recommendations from data analysis.
  • Ability to work in a fast-paced, high-demand environment, both independently and as part of a team, under tight deadlines and with the ability to manage multiple priorities concurrently, efficiently and effectively.
  • Well-organized; strong project management skills; strong reporting skills.
  • Strong interpersonal, verbal, and written communication skills; capable of writing documentation, training users in complex topics, making presentations to an internal audience, interacting with external vendors, and interacting positively with upper management, colleagues and clients.
  • Proficient with Microsoft Office products.

Keywords: Morgan Stanley, New Rochelle , US Banks Client Guardianship Office, Vice President, Other , Purchase, New York

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