Operations Risk Reg Control- Senior Risk Lead - Vice President
Company: CTI Education Group
Location: Baltimore
Posted on: February 25, 2021
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Job Description:
Job Description Job Number: 3163195 Posting Date : Jan 19, 2021
Primary Location : Americas-United States of
America-Maryland-Baltimore Education Level : Bachelor's Degree Job
: Other Employment Type : Full Time Job Level : Vice President
Description Company Profile:
Morgan Stanley is a leading global financial services firm
providing a wide range of investment banking, securities,
investment management and wealth management services. The Firm's
employees serve clients worldwide including corporations,
governments and individuals from more than 1,200 offices in 43
countries.
--
As a market leader, the talent and passion of our people is
critical to our success. Together, we share a common set of values
rooted in integrity, excellence and strong team ethic. Morgan
Stanley can provide a superior foundation for building a
professional career - a place for people to learn, to achieve and
grow. A philosophy that balances personal lifestyles, perspectives
and needs is an important part of our culture.
--
Department Profile:
The Operations division is both the first line of defense for
protecting Morgan Stanley's financial and reputational well-being,
and an essential partner contributing to the firm's growth. Facing
off to all Morgan Stanley businesses and interacting with all other
parts of the Firm, the Operations division supports a complex,
multi-faceted portfolio of businesses in full compliance with
regulatory guidelines and the directives of the Operating Committee
and Board of Directors. Members of the Operations team have a
unique vantage point as the division touches all parts of the
business, front to back. One of the largest divisions in the firm,
Operations has diverse responsibilities, including correctly
settling and recording millions of transactions per day,
identifying and mitigating all operational risks, developing strong
client relationships and partnering with technology to realize the
full potential of IT and e-solutions. Throughout, we continually
strive to improve while actively supporting the development of new
businesses, structures and markets.
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Team Profile:
Operations Risk & Regulatory Control (ORRC) performs various
independent functions to ensure adequate controls are in place,
through providing an integrated risk and control framework to
govern, assess, mitigate and manage financial and operational risk
in Operations. The team focuses on implementing appropriate
internal controls, business processes, and internal management
reporting and analysis to mitigate operational risk and fulfil
regulatory reporting requirements.
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Job Profile:
As the Senior Risk Lead for Operations Risk & Regulatory Control,
you will provide leadership, oversight and strategy for risk
functions within our global organization. You would lead a team of
specialists supporting multiple operations silos in the areas of
operational risk management internal risk metric operational
analysis & reporting, incident management, system entitlement
programs and review department / internal audits.
Additionally, you would be a primary communicator and sponsor of
the regulatory and firm mandated risk agenda for ORRC. You would
lead mandated Operations risk initiatives for internal Operations
stakeholders, whilst providing thought leadership and oversight to
the entire risk management program.
You and your team would drive large centralized programs for our
functions.
This role reports in the Operations Risk & Regulatory Control Chief
Administrative Officer and has direct interaction and engagement
with the Global Head of ORRC and Operations Senior Management.
Day to day responsibilities include, but are not limited to:
-Executing the front to back operational control framework that
allows our functions to efficiently, effectively, and consistently
manage risk across the organization
-Overseeing Cross Divisional Risk Reporting to Operations Senior
Management
Managing the central Operations Risk Incident Reporting Program,
including root cause analysis on risk incidents
-Monitoring, assessment and testing of control activities performed
by functional teams through a Risk and Control Self-Assessment
(RCSA) discipline
-Participation in periodic internal control and assurance testing
across the division
-Periodic reviews and maintenance of control tools (e.g., system
entitlements, desktop procedures, supervisory procedures and
check-lists)
-Remediation of risk issues, audit findings, processing
inefficiencies, etc.
-Definition, publication, and testing of internal policies
impacting the risk and control framework
-Consulting with internal groups such as Firm Operational Risk,
Compliance, Legal, and Technology and Operations Risk teams on
matters related to risk controls, self-assessments, incidents and
infrastructure projects
-Coordination of risk trends happening across ORRC functions
-Fostering risk management skills through training and development
of colleagues, both in the broader risk -and control organization
and the core regulatory operations processing teams
-Execution of the Business Continuity Strategy for ORRC
-Managing Information Security and Entitlements Strategy and
activities for ORRC
Participate in ad-hoc risk/control projects Qualifications Key
Qualities and Competencies:
Does this sound like you
-An influencer who can concisely explain complex issues to
audiences of varying seniority
-Excellent presentation and interpersonal skills
-Organized and comprehensive when managing projects
-Effective at partnering with stakeholders and all levels of
management to gain consensus
-Innovative and enjoy problem-solving
-An inclusive leader with effective coaching, motivation and
delegation skills
-Able to manage employee performance and foster a collaborative
team environment
-Proactive in identifying new and enhanced business
capabilities
-Able to challenge the status quo and drive strategic
recommendations.
-Analytical and investigative; able to make commercially viable
decisions
-Resilient in the face of obstacles
-Strong risk awareness and quick orientation to new systems and
processes
-Demonstrated ability to multi-task
-Focused on encouraging continual alignment with Divisional and
Firm-wide strategies
-8+ years of experience in Operations, Audit, Compliance, Product
Management, Technology Management, or Operational Risk
Management
Keywords: CTI Education Group, Baltimore , Operations Risk Reg Control- Senior Risk Lead - Vice President, Executive , Baltimore, Maryland
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