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Vp - Sydney Risk Manager, Wealth Management

Morgan Stanley - Sydney, NSW

Banking & Finance
Source: uWorkin


VP - Sydney Risk Manager, Wealth Management VP - Sydney Risk Manager, Wealth Management …

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Morgan Stanley
in Sydney, New South Wales, Australia

Permanent, Full time

Be the first to apply


Morgan Stanley
in Sydney, New South Wales, Australia

Permanent, Full time

Be the first to apply


VP - Sydney Risk Manager, Wealth Management

Vice President


About The Company

Morgan Stanley is a global financial services firm and a market leader in investment banking, securities, investment management and wealth management services. With offices in more than 43 countries the people of Morgan Stanley are dedicated to providing our clients the finest thinking, product and services to help them achieve even the most challenging goals.

About The Department

This role sits within the Australian Wealth Management Operational Risk division which incorporates the Branch Supervision function. The Operational Risk team is an independent function that oversees, monitors, measures and analyses operational risks across the Australian Wealth Management business to ensure they are operating within the businesses risk appetite levels across the network.

The key function of the Branch Risk Manager is to implement the practices set out in the Morgan Stanley Wealth Management Branch Manager Supervisory Manual for the Sydney and Brisbane branches. The Risk Manager may also be required to assist with supervisory tasks for other state offices.

Key Accountabilities

  • Develop strong working relationships with staff to facilitate a strong risk culture within the branch
  • Responsible for identifying and providing guidance/solutions to the relevant State Manager and Head of Branch Supervision on risk issues
  • Responsible for providing guidance to advisers relating to their regulatory and risk obligations as well as proactively managing the firm's advice/suitability framework to ensure compliance at all times
  • Responsible for preparing Key Risk Indicator reporting for the State Manager and investigating any material risks identified through reporting
  • Undertake detailed, documented account reviews including preparing reports for advisers and the State Manager on the outcomes of these reviews
  • Work with the Legal & Compliance team in respect of complaint resolution
  • Work closely with other risk functions within the business to enhance the supervisory framework and contribute to projects as needed
  • In conjunction with the State Manager, ensure the Branch maintains the ethical standards contained in the Company Code of Conduct; firm policies and procedures, regulatory and legislative requirements.