Wealth Management Monitoring Marketing Review Officer

Profile

Wealth Management Monitoring Marketing Review Officer

The candidate will obtain a thorough understanding of the Global Monitoring Policies, Wealth Management Monitoring Procedures, WM Risk organizations' supervisory processes and the Compliance oversight controls. Develop and implement a second line compliance oversight program for marketing materials, including social media. Conduct oversight reviews for marketing materials produced by Wealth Management. Attend and host regular meetings with WM Risk management and other key stakeholders such as Legal, Global Financial Crimes, Global Monitoring Governance and Technology, as needed. Work with the Monitoring Execution, Governance, and Strategy teams to develop enhancements to metrics reporting and governance processes. Meet with department heads to discuss current activities, potential findings and observations, metrics, attestations, and Monitoring Supervisory Review Tool (MSRT) reviews. Coordinate with Compliance Advisory to share information on new initiatives and business decisions with a focus to identify and resolve control gaps. Serve as liaison and team representative on the applicable committee and working groups. Assist with the creation, implementation, and maintenance of procedural documents. Conduct training to applicable staff on communications with the public requirements, including marketing review. Facilitate compliance training of applicable oversight reviews and processes. Assist with responses to audits, regulatory inquiries, and examinations.

Additional Information

Job Number: 3221196.

Company info

Morgan Stanley
2000 Westchester Avenue
Purchase
New York
United States 10577
Website : http://www.morganstanley.com/