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Job Field: Office Jobs
Location: PORTLAND, WA
Salary: $-
Job Type: Part Time

JOB SUMMARY:

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               <td align="left"><font style="font-size: 100%;">Senior Complex Risk Officer<BR><BR><BR>Position Number:111420 Posting Date:2012 Aug 31<BR>Location:USA - OR - Portland Education:Refer to Position Description<BR>Position Category:Wealth Management Experience:Refer to Position Description<BR>Position Type:Full-Time Job Level:Professional<BR><BR><BR><BR><BR><BR><BR>Position Description<BR>The Senior Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions related to the Complex. In conjunction with the Complex Manager and other Complex Risk Officers within the Complex, the Senior Complex Risk Officer has accountability in the Complex for maintaining a consistent control environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Smith Barney policies, and other regulations. The Senior Complex Risk Officer keeps the Complex Manager informed of significant matters within the complex and must determine when the Complex Manager, other Branch Managers within the Complex and/or Regional Risk Officer should be directly involved. The Senior Complex Risk Officer role is a non-revenue sharing position that has dual straight line reporting to the Complex manager and Regional Risk Officer.<BR><BR><BR>DUTIES and RESPONSIBILITIES<BR><BR>Surveillance and Supervision<BR>-Primary responsibility for all risk, supervisory, and compliance functions for the Complex<BR>-Communicates and facilitates any supervisory inquiry or process that requires escalation from the Complex to the Regional Risk Officer<BR>-Focuses on business ethics and regulatory and compliance practices<BR>-Provides the coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the Complex<BR>-Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely.<BR>-Manages the Complex Risk Officers within the Complex to ensure consistent regulatory and compliance practices<BR>-Ensures procedures are in place for self audits.<BR><BR><BR><BR>Risk Management/Compliance/Legal<BR>-Monitors and implements procedures to manage all facets of risk, including data security, across the Complex<BR>-Facilitates regular and consistent communication of Morgan Stanley Smith Barney policies and other regulations<BR>-Liaises with the Legal and Compliance Division with customer complaints and litigation<BR>-Together with the Complex Manager and Complex Risk Officers, ensures appropriate supervisory coverage is maintained at all times across the Complex as required by Firm policy.<BR>-Oversees all responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the complex has procedures in place.<BR>-Is responsible for the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated<BR>-Works with Complex Manager and Complex Risk Officers to monitor people risk, and ensures appropriate action is taken<BR>-Responsible for proactive client contact within the Complex in determinin                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  </font></td>
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