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Senior Manager, Product, Suitability & Conduct Risk

CTI Education Group - Sydney, NSW

Any Industry
Source: uWorkin


Job Description - Senior Manager, Product, Suitability & Conduct Risk (3169701)

Job Description

Senior Manager, Product, Suitability & Conduct Risk

Job Number: 3169701

Posting Date : Mar 18, 2021

Primary Location

Job : WM Risk

Employment Type : Full Time

Job Level : Senior Manager


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 Department

This role sits within the Australian Wealth Management Risk Team and the key function is to assist managing, overseeing and developing the Product Governance, Suitability and Conduct Risk Frameworks for the firm, as well as identifying, escalating and managing Product, Suitability and Conduct Risks.

Key Accountabilities

• Assist in the management, analysis and development of the Product Governance framework.
• Assist in analysing, assessing and supervising Product, Suitability and Conduct Risk for the Firm.
• Developing policies and procedures for the management and supervision of conduct.
• Assisting with new business initiatives and product approvals.
• Co-ordination and maintenance of the Approved Product List.
• Analysis and due diligence of client books of proposed new FA hires.
• Reviewing and approving new products as part of the Capital Markets Committee.
• Management of suitability reviews of various products.
• Assisting with analysis of client complaint matters.
• Ongoing review and performance of tasks relating to compliance with the Product Governance Policy of the business.
• Contribute to and assist with the Product & Investment Risk Committee as a member of the committee.
• Ensure standardisation and consistency in risk management policies and procedures applicable across the business relating to product / suitability and conduct risk.


• Extensive Risk Management or Product experience.
• Advanced MS Excel, MS Word, PowerPoint and Outlook skills
• Knowledge and experience using Excel VBA / Macros.
• Strong knowledge of Australian and International Financial Markets and products including knowledge of equities, listed and OTC derivatives, fixed income, managed/hedge funds and foreign exchange products.
• High attention to detail and an analytical mindset.
• Strong project management skills.
• Strong organisational skills.

Personal Attributes/Interpersonal Skills

• Excellent communication skills both verbal and written.
• Display a high level of resilience and strong ability to prioritise tasks.
• Goal-oriented with demonstrated drive and initiative.

Qualitications/Experience Required

• University Degree qualified in Finance, Business or Economics preferable but not essential.
• Recognised industry qualifications preferred but not essential.
• Approximately 7 years of prior Risk Management or Product experience from a top tier firm.
• Experience within wealth management, banking highly desirable.

Equal Opportunity Statement

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.