Job Description

The primary role of the Senior Investor Oversight Risk Associate role is to review incidents of potential senior or vulnerable client financial exploitation and/or diminished capacity for the purposes of mitigating risks to the client and the Firm. The candidate will fulfill mandatory reporting to both internal and external parties. Matters escalated to this team are often complex and require diligent interview and communication skills, efficient collaboration with internal business partners and branches as well as external agencies such as Adult Protective Services, to resolve matters. The candidate should also be familiar with financial industry business practices to ensure that reviews are conducted in compliance with firm policies, procedures, and applicable industry and state regulation standards. The candidate will collaborate closely with Fraud Operations, Legal and Compliance, Global Financial Crimes, Risk, Branches and Client Services to address senior or vulnerable client matters. Other responsibilities include but not limited to the following:
Review potential events of senior or vulnerable adult financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley's senior or vulnerable clients
Provide notifications to and work with appropriate state agencies and regulators
Educate Financial Advisors and Risk Officers on identifying and escalating senior or vulnerable matters and advising clients and their immediate family on strategies to better protect assets and mitigate risks Qualifications:
3 to 6 years' experience in the financial industry or work experience in compliance, risk management, fraud prevention or law enforcement
General knowledge of crypto currency platforms, exchanges and investing.
Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters
Exceptional verbal and written communication skills, including presentation experience, staff training, and collaboration ability
Strong quantitative and analytical skills with substantive knowledge of senior or vulnerable adult matters
High motivation and energy with ability to develop strong working relationships
Basic knowledge of Brokerage and Bank business and the various lines of business
Empathy and passion for assisting clients
A calm demeanor and ability to work on multiple tasks at one time
Self-starter with a strong attention to detail
Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
Advanced proficiency in MS Office, PowerPoint, Excel, VISIO, and v-lookups
Excellent problem-solving and business judgment
Strong organizational, planning and time management skills
Ability and willingness to voice ideas, in addition to following instructions
Bachelor's Degree or equivalent
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

Skills Required