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Morgan Stanley Client Guardianship Executive Director in New York, New York

Morgan Stanley (“MS”) is a global financial services firm that conducts its business through three principal business segments—Institutional Securities Group (“ISG”), Global Wealth Management via Wealth Management (“WM”), and Asset Management. WM’s network includes approximately 15,000 Financial Advisors with total client assets of over $1.5 trillion. WM provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit and lending, deposits and cash management, annuities, insurance, retirement and trust services.

The US Banks. Morgan Stanley Private Bank, National Association (“MSPBNA”) and Morgan Stanley Bank, N.A. (“MSBNA”) provide cash management and lending products and services to serve the needs of WM & ISG clients and seeks an Executive Director (“ED”) as part of the US Banks Client Guardianship team. The Client Guardianship team reports into the Head of Business Risk Management and is responsible for oversight of the U.S. Banks’ client data and information. In addition, the role advocates for the U.S. Banks clients’ interests, from a client-risk perspective, through all aspects of our business processes. The ED of Client Guardianship will lead and/or be responsible for management of relevant program elements

Key Responsibilities:

  • Partner with the Head of Client Guardianship in the implementation of the Banks’ Client Guardianship function, including partnering with other program leads, business units, legal, risk, and compliance teams as necessary
  • Represent the Client Guardianship function in relevant governance forums, either through direct leadership of these forums or through participation
  • Understand policies, procedures, and processes critical to the Client Guardianship function, including recommending and drafting enhancements to policies or procedures as needed
  • Define monitoring activities, reporting activities and metrics management, with responsibility for related deliverables, as needed
  • Represent Client Guardianship in Bank and Firm programs and exams, including but not limited to Risk Control Self-Assessment (RCSA) processes, internal audits, and compliance testing.

  • Conduct deep-dive analysis of data relevant to the Client Guardianship function; synthesize finds and propose recommendations for enhancements, as needed

  • Lead execution of remediation activities as needed

Skills required:

  • Minimum 10 years of professional experience in financial services industry, risk management;experience in risk management, information security/privacy, or ethics office experience preferred.
  • Strong analytical, quantitative, and investigative problem-solving abilities; with the demonstrated ability to make actionable recommendations from data analysis.
  • Ability to work in a fast-paced, high-demand environment, both independently and as part of a team, under tight deadlines and with the ability to manage multiple priorities concurrently, efficiently and effectively.
  • Well-organized; strong project management skills; strong reporting skills.
  • Strong interpersonal, verbal, and written communication skills; capable of writing documentation, training users in complex topics, making presentations to an internal audience, interacting with external vendors, and interacting positively with upper management, colleagues and clients.
  • Proficient with Microsoft Office products.

Expected base pay rates for the role will be between $175,000 USD and $250,000 USD per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Job: *Other

Title: Client Guardianship Executive Director

Location: New York-New York

Requisition ID: 3229776

Other Locations: Americas-United States of America-New York-Purchase