SRU Risk Analyst

Morgan Stanley•Columbus, OH

About The Position

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.

Requirements

Series 7, 63 or 66, 9 and 10 or equivalent required
5-10 years industry experience.
Confidence and decision-making skills that provide ability to make calls in ambiguous situations
Knowledge of Morgan Stanley and Regulatory Client Onboarding policies preferred
Previous risk management or related supervisory experience preferred, Field (branch) experience a plus
Basic knowledge of Morgan Stanley and ETRADE systems preferred
Ability to prioritize a high volume of activity in a demanding environment across multiple time zones
Appropriate identification and escalation of issues to mitigate risk
Strong 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

Responsibilities

Assist with the update and development of policies, procedures, technology enhancements and ensure they are aligned with departmental controls
Collaborate 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 basis
Keep current on SEC/FINRA and Compliance policies and procedure changes
Reviewing the next day oversight report(s) with focus on compliance with firm policies and procedures
Identify any risk trends, issues, or patterns that are detected from various aspects of daily responsibilities
Assist with the periodic internal risk review self-assessments
Resolve escalated issues and/or provide additional back up to other Regional Supervisors when necessary
Provide world class customer service to both field facing and internal counterparts in all interactions including interactions with Senior Management
Periodic touch points with Department and SRU Management to ensure consistency across sites and SRU departments
Identify and provide risk-based training to SRU employees when necessary
Other duties as assigned