Risk Officer Wealth Management
Resume:
Scott Vincent March
ad7z54@r.postjobfree.com
Summit, NJ 07901
Education
Arizona State University, Tempe, Arizona
W.P. Carey School of Business
Bachelor of Science, Information Management
Experience
May 2005- April 2024
Morgan Stanley, Complex Risk Officer -Vice President
Responsible for a wide variety of supervisory, compliance, and risk functions. Accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.
Surveillance and Supervision
•Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
•Facilitated any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk Officer
•Focused on business ethics and regulatory and compliance practices
•Provided coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
•Ensured proper procedures are in place to ensure that approvals are handled appropriately and timely Risk Management/Compliance/Legal
•Monitored and implemented procedures to manage all facets of risk, including data security
•Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations
•Liaises with the Legal and Compliance Division with customer complaints and litigation
•Together with the Complex Manager and Senior Complex Risk Officer, ensured appropriate supervisory coverage is maintained at all times
•Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Complex has procedures in place
•Supported the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
•Worked with Complex Manager and Senior Complex Risk Officer to monitor people risk, and ensures appropriate action is taken
•Responsible for proactive client contact in determining suitability and managing risk
•Active involvement with the region regarding matters presented to the Credit Committee
•Primary source for intelligence on risk in regard to clients and FAs Administrative
•Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.
•Together with the Senior Complex Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.
•Assisted in the review and on boarding of FA recruits Education and/or Experience
Active Series 7, 9,10,63, 66 and 3 • Knowledge/Skills • 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
Special Skills
Proficient in Microsoft Office, Tableau and Alladin
Contact this candidate