POSITION SUMMARY:

A Market Executive directly manages a market-level branch and additional branches within the Market. The Market Executive’s primary focus is to drive revenue, increase profitability, and manage risk within their branch and assigned offices within the market. Job functions also include maintaining a superior and consistent level of client service, developing cohesive teams, providing consistent leadership, and assuming accountability for the results of the entire market. In addition, a large emphasis will be placed on the recruitment and retention of Financial Advisors. Market Executives must be responsible for fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations. This is a non-producing role.

DUTIES and RESPONSIBILITIES:

Product/Business Knowledge:

• Has a thorough understanding of the Firm’s products and those of its strategic partners; uses this knowledge to provide resources and direction in order to help drive sales.

• Possesses a strong understanding of the firm’s resources; able to direct the sales force to the right resources in an efficient manner as to make the sales process more efficient.

• Effectively applies product/business knowledge to recruiting efforts; able to “translate” competitor offerings into Morgan Stanley Wealth Management products, and understand and explain how a recruit will be able to continue to help meet their clients’ needs.

Sales/Marketing:

• Seeks opportunities to grow business and drive sales by capitalizing on firm initiatives; focuses on building strong relationships with corporate departments and strategic partners to achieve the marketing efforts of the Branch.

• Drives corporate marketing initiatives to help increase market share in High Net Worth households.

Team Building:

• Builds an effective team across the market by constantly communicating relevant information on a timely basis and conducting regular meetings.

• Leads and participates in Market and Region initiatives, including sales, hiring, recruitment, diversity, and community outreach.

• Responsible for growing their market through hiring, lateral recruiting and training.

Leadership:

• Leads by example by maintaining a positive morale, a track record of personal growth or reputation for growth, has ethical business practices, and demonstrates a commitment to diversity and respect for others.

• Leads proactively by identifying trends, potential areas of growth and weakness and addressing these areas in order to positively position the Region within the geographic market.

• Leads Market’s efforts of Sales and results.

• Identifies key talent in the market, positions and develops that talent, and encourages those individuals to participate in the leadership of the Market and Region.

• Leverages the resources of the Firm to achieve the highest level of success.

• Acts as a coach and mentor for Financial Advisors in order to help drive results.

Accountability:

• Responsible for the market’s sales performance and financial performance.

• Responsible for regulatory, legal and compliance issues including: Risk management for their Branch and market in regards to monitoring sales, human resources, and legal and regulatory practices.

• Responsible for establishing a core compliance model in offices under supervision.

• Responsible for following supervisory procedures as outlined in the Branch Manager’s Supervisory Manual.

• Responsible for delegating supervisory review/duties to the Risk Officer.

• Responsible for the creation of an Annual Supervisory Plan.

• Responsible for effectively communicating the status of performance and issues to the Regional Director.

POSITION SUMMARY:

A Market Executive directly manages a market-level branch and additional branches within the Market. The Market Executive’s primary focus is to drive revenue, increase profitability, and manage risk within their branch and assigned offices within the market. Job functions also include maintaining a superior and consistent level of client service, developing cohesive teams, providing consistent leadership, and assuming accountability for the results of the entire market. In addition, a large emphasis will be placed on the recruitment and retention of Financial Advisors. Market Executives must be responsible for fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations. This is a non-producing role.

DUTIES and RESPONSIBILITIES:

Product/Business Knowledge:

• Has a thorough understanding of the Firm’s products and those of its strategic partners; uses this knowledge to provide resources and direction in order to help drive sales.

• Possesses a strong understanding of the firm’s resources; able to direct the sales force to the right resources in an efficient manner as to make the sales process more efficient.

• Effectively applies product/business knowledge to recruiting efforts; able to “translate” competitor offerings into Morgan Stanley Wealth Management products, and understand and explain how a recruit will be able to continue to help meet their clients’ needs.

Sales/Marketing:

• Seeks opportunities to grow business and drive sales by capitalizing on firm initiatives; focuses on building strong relationships with corporate departments and strategic partners to achieve the marketing efforts of the Branch.

• Drives corporate marketing initiatives to help increase market share in High Net Worth households.

Team Building:

• Builds an effective team across the market by constantly communicating relevant information on a timely basis and conducting regular meetings.

• Leads and participates in Market and Region initiatives, including sales, hiring, recruitment, diversity, and community outreach.

• Responsible for growing their market through hiring, lateral recruiting and training.

Leadership:

• Leads by example by maintaining a positive morale, a track record of personal growth or reputation for growth, has ethical business practices, and demonstrates a commitment to diversity and respect for others.

• Leads proactively by identifying trends, potential areas of growth and weakness and addressing these areas in order to positively position the Region within the geographic market.

• Leads Market’s efforts of Sales and results.

• Identifies key talent in the market, positions and develops that talent, and encourages those individuals to participate in the leadership of the Market and Region.

• Leverages the resources of the Firm to achieve the highest level of success.

• Acts as a coach and mentor for Financial Advisors in order to help drive results.

Accountability:

• Responsible for the market’s sales performance and financial performance.

• Responsible for regulatory, legal and compliance issues including: Risk management for their Branch and market in regards to monitoring sales, human resources, and legal and regulatory practices.

• Responsible for establishing a core compliance model in offices under supervision.

• Responsible for following supervisory procedures as outlined in the Branch Manager’s Supervisory Manual.

• Responsible for delegating supervisory review/duties to the Risk Officer.

• Responsible for the creation of an Annual Supervisory Plan.

• Responsible for effectively communicating the status of performance and issues to the Regional Director.

Education and/or Experience:

• 5 or more years of related experience and/or training including demonstrated success managing a market or a large branch office, or equivalent.

Licenses and Registrations:

• Active Series 7, 8 (or 9 and 10), 66 (or 63 and 65) and 3 registrations (Series 31 acceptable if branch conducts managed futures business only)

• Other licenses as required for role or by management

Skills:

• Effective written and verbal communication skills

• Ability to think critically

• Ability to manage a team

• Strong attention to detail

• Ability to interact with senior management team, Financial Advisors, support staff, clients and corporate and field personnel as needed

• Ability to own projects at a Market level

• Ability to organize and prioritize work, meet deadlines, and complete projects

Direct Reports:

• Market Managers, Branch Managers, Producing Branch Managers, Resident Managers, Market Business Development Officer, Financial Advisors and Branch Support Staff

• This list is meant to be directional and should not be considered complete, as it may be supplemented on an as needed basis

All candidates should verify that they meet the minimum eligibility requirements prior to applying

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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Expected base pay rates for the role will be between $390,000 to $400,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Education and/or Experience:

• 5 or more years of related experience and/or training including demonstrated success managing a market or a large branch office, or equivalent.

Licenses and Registrations:

• Active Series 7, 8 (or 9 and 10), 66 (or 63 and 65) and 3 registrations (Series 31 acceptable if branch conducts managed futures business only)

• Other licenses as required for role or by management

Skills:

• Effective written and verbal communication skills

• Ability to think critically

• Ability to manage a team

• Strong attention to detail

• Ability to interact with senior management team, Financial Advisors, support staff, clients and corporate and field personnel as needed

• Ability to own projects at a Market level

• Ability to organize and prioritize work, meet deadlines, and complete projects

Direct Reports:

• Market Managers, Branch Managers, Producing Branch Managers, Resident Managers, Market Business Development Officer, Financial Advisors and Branch Support Staff

• This list is meant to be directional and should not be considered complete, as it may be supplemented on an as needed basis

All candidates should verify that they meet the minimum eligibility requirements prior to applying

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, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Expected base pay rates for the role will be between $390,000 to $400,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.