Risk Approval Officer - Sydney Risk Approval Officer - Sydney …

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
Risk Approval Officer - Sydney
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 Team

This role sits within the Australian Wealth Management Operational Risk division which incorporates the Branch Supervision and Risk Approvals functions. The Operational Risk team is an independent function that oversees, monitors, measures and analyses operational risks across the Australian Wealth Management business.

About The Role

The key function of the Risk Approval Officer is to provide administrative support to the Business Unit Risk Managers and to provide timely and considered approval of transactions requiring approval from the risk function.

Key Accountabilities

• Prepare and distribute relevant risk reports and KRIs to Business Unit Risk Managers and Financial Advisers in the network
• Review and sign off of:
  • Trade errors and re-bookings
  • Interest adjustments and Write-offs
  • Trade pre approvals and exceptions
  • Payment and Asset Transfers including Off Market Transfers
• U.S Sanctioned Securities pre and post trade reviews
• Review and approval of client Blue Sky Eligibility requests
• Review and monitoring of failed client settlements and margin calls
• Work closely with Business Unit Risk Managers other risk functions within the business to enhance the supervisory framework and contribute to projects as needed


Key Competencies/ Skills

Technical/Specialist Skills/Competencies

• Experience in financial markets, Risk Management and/or Compliance.
• ASIC RG 146 compliance is desirable
• Advanced MS Excel, MS Word, PowerPoint skills
• Strong organisational skills.

Personal Attributes/Interpersonal Skills

• Excellent communication skills both verbal and written.
• Highly developed interpersonal, negotiation and relationship management skills
• Display a high level of resilience and strong ability to prioritise tasks.
• Goal-oriented with demonstrated drive and initiative

Qualifications / Experience Required

• University Degree qualified in Finance, Business or Economics preferable but not essential.
• Recognised industry qualifications preferred but not essential.
• Experience within wealth management, banking highly desirable.

Equal Opportunity Statement

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, gender, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy (including unlawful discrimination on the basis of a legally protected pregnancy/maternity leave), veteran status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.

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