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Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in risk management, compliance, and supervisory functions within the financial services industry, ensuring adherence to SEC and FINRA regulations. Proven ability to lead teams, provide training, and manage client relationships while maintaining a strong ethical framework.
Highest-signal resume keywords
Active Series 7 LicenseActive Series 63 LicenseKnowledge of SEC RegulationsKnowledge of FINRA Compliance PoliciesSupervisory Experience
About the role
Key responsibilities & impact- Maintains a consistent controlled environment through adherence to business ethics, practices, laws, policies, and regulations
- Performs risk, supervisory, and compliance functions for assigned branch locations
- Facilitates escalated supervisory inquiries and processes
- Provides coaching and guidance on policies and procedures
- Ensures approvals are handled appropriately and timely
- Monitors and implements procedures covering risk facets, including data security
- Communicates Morgan Stanley Wealth Management policies and regulations
- Liaises with Legal and Compliance regarding customer complaints and litigation
- Ensures appropriate supervisory coverage is maintained
- Oversees Branch Supervisory Manual responsibilities and implementation of new policies
- Supports audit preparation and response, and ensures findings are remediated
- Monitors people risk and ensures appropriate action
- Conducts proactive client contact to determine suitability and manage risk
- Participates in regional matters presented to the Credit Committee
- Provides intelligence on client and Financial Advisor risk
- Works with the Special Investigation Unit on HR issues related to risk and compliance
- Facilitates compliance policy and procedure training
- Assists with review and onboarding of Financial Advisor recruits
Requirements
What you’ll need- Bachelor’s degree required or equivalent education or experience
- Previous industry experience
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
- Other licenses as required for role or by management
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to prioritize and resolve complex problems and escalate as necessary
- Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
- Evidence of strong leadership capabilities or previous supervisory experience
- Ability to organize and prioritize workflow and assignments in a deadline oriented environment
- Ability to interact with Financial Advisors and clients
- Excellent judgment and the ability to be discreet in all matters
- Strong work ethic
Benefits
Comp & perks- Comprehensive employee benefits and perks
- Equal opportunity employment
- Opportunity to move about the business for employees who show passion and grit
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk ManagementCompliance FunctionsData Security ProceduresAudit PreparationPolicy ImplementationClient Contact ManagementEscalation ProcessesSupervisory Manual OversightTraining FacilitationProblem Resolution
Soft Skills
Effective CommunicationAttention to DetailLeadership CapabilitiesOrganizational SkillsJudgment and Discretion
Certifications & Qualifications
Bachelor's DegreeActive Series 8 LicenseActive Series 65 License
Industry Keywords
Financial ServicesCompliance PoliciesBusiness EthicsClient Risk ManagementFinancial Advisor Interaction