Branch Examiner, WM Compliance
$70k/y-$125k/y
Morgan Stanleya day ago
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OnsiteFull-timeMid
Summary
Morgan Stanley is seeking a Branch Examiner, WM Compliance to join their team in Baltimore, MD. The role involves performing independent oversight and execution of risk-based branch examinations across retail locations to strengthen supervisory practices and safeguard the firm's regulatory integrity.
About the Role
As a Branch Examiner in WM Compliance, you will conduct pre-exam testing, perform onsite branch inspections, evaluate testing results, hold meetings with branch management to discuss findings, and collaborate with local management to address business risks and policy violations. You will oversee multiple examinations and maintain knowledge of industry and regulatory changes.
About You
Required:
- Knowledge of the Financial Services Industry
- 3+ years Financial Services Industry Experience
- Strong communication, detail-oriented, analytical, critical thinking, and organizational skills
Preferred:
- Prior examination or testing experience
- FINRA licenses
- Team-oriented with the ability to interact with diverse remote teams
Benefits
- Medical, Prescription Drug, Dental, Vision coverage
- Health Savings Account, Dependent Day Care Savings Account
- Life Insurance, Disability and Other Insurance Plans
- Paid Time Off including Sick Leave, Parental Leave, and 20 Vacation Days annually
- 10 Paid Holidays, 401(k), Short/Long Term Disability
Morgan Stanley
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, our firm's employees serve clients worldwide including corporations, governments, institutions and individuals. We are committed to maintaining the first-class service and high standard of excellence that have always defined the firm and everything we do is guided by our five core values: Do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back.
Baltimore, MD