The Risk Analyst will exercise authoritative supervisory oversight of account opening and maintenance processes under the Service Review Unit (SRU) umbrella. This role demands decisive decision-making to ensure strict adherence to regulatory, firm, and departmental policies and procedures. The analyst will spearhead the review of daily supervisory reports, provide clear policy and procedure guidance, and resolve complex risk-related issues and approval errors in collaboration with SRU leadership and internal partners. The analyst will need to provide clear and decisive guidance for escalations and exceptions while thoughtfully balancing service versus risk. Additionally, the analyst will proactively support or provide backup coverage to other risk analysts as needed to maintain operational excellence.

Responsibilities Include:

Assist with the update and development of policies, procedures, technology enhancements and ensure they are aligned with departmental controlsCollaborate 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 basisKeep current on SEC/FINRA and Compliance policies and procedure changesReviewing the next day oversight report(s) with focus on compliance with firm policies and proceduresIdentify any risk trends, issues, or patterns that are detected from various aspects of daily responsibilitiesAssist with the periodic internal risk review self-assessmentsResolve escalated issues and/or provide additional back up to other Regional Supervisors when necessaryProvide world class customer service to both field facing and internal counterparts in all interactions including interactions with Senior ManagementPeriodic touch points with Department and SRU Management to ensure consistency across sites and SRU departmentsIdentify and provide risk-based training to SRU employees when necessaryOther duties as assigned

Requirements:

Series 7, 63 or 66, 9 and 10 or equivalent required5-10 years industry experience.Confidence and decision-making skills that provide ability to make calls in ambiguous situationsKnowledge of Morgan Stanley and Regulatory Client Onboarding policies preferredPrevious risk management or related supervisory experience preferred, Field (branch) experience a plusBasic knowledge of Morgan Stanley and *ETRADE systems preferredAbility to prioritize a high volume of activity in a demanding environment across multiple time zonesAppropriate identification and escalation of issues to mitigate riskStrong technical skills preferred, including proficiency in Microsoft Excel and the ability to utilize and incorporate AI technologies. Familiarity with data visualization software such as Tableau is also desired to effectively analyze and interpret complex data sets, enhancing efficiency and decision-making processes

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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.

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).