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Dorene Soscia profile image

Dorene Soscia

Complex Risk Officer, Vice President at Morgan Stanley
Intro Book
Seasoned financial professional with 28 years of experience in risk management and financial services.
  • Claim this Profile
Location
Providence, Rhode Island, United Stat...
Skills
  • Series 7
  • Series 63
  • Financial Services
  • Risk Management
  • Human Resources
  • Show all
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Bio

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Dorene Soscia is a seasoned financial professional with 28 years of experience in risk management, human resources, and financial services. She has held various leadership positions, including Complex Risk Officer and Vice President, and has expertise in Series 7, Series 63, and Series 65 certifications.

Credentials

  • Series 8
    Financial Industry Regulatory Authority
    Sep, 1998
    - Jun, 2026
  • Series 65
    Financial Industry Regulatory Authority
    Mar, 1995
    - Jun, 2026
  • Producer License: Life, Accident & Health Insurance
    State of Rhode Island
    Jan, 1994
    - Jun, 2026
  • Series 63
    Financial Industry Regulatory Authority
    Jul, 1992
    - Jun, 2026
  • Series 7
    Financial Industry Regulatory Authority
    Jul, 1992
    - Jun, 2026

Experience

  • Morgan Stanley
    • Providence, Rhode Island Area
    • Complex Risk Officer, Vice President
      • Jun 1996 - Present
      • Providence, Rhode Island Area

      Prior Roles: Branch Administrator, AVP; Senior Registered Service Associate, and Branch Manager's Assistant- Manage all risk, supervisory, and compliance functions for two (2) branch offices. - Responsible for proactive client contact in determining the suitability and the management of risk....

  • The Providence Group Investment Advisory Company
    • Providence, Rhode Island Area
    • Vice President
      • Feb 1995 - Mar 1996
      • Providence, Rhode Island Area

      - Effectively managed multiple priorities in a detailed, fast-paced environment.- Analyzed and tracked portfolio performance for the preparation of various reports and provided feedback and recommendations.- Assisted in the maintenance of portfolios.- Developed and ensured the timely completion o...

  • Kidder Peabody & CO / UBS Financial Service...
    • Providence, Rhode Island Area
    • Branch Administrator
      • Feb 1987 - Feb 1995
      • Providence, Rhode Island Area

      - Worked closely with branch manager during critical transition period.- Monitored adherence to regulatory guidelines.- Reviewed and interpreted guidelines and, if necessary, recommended corrective action.- Coordinated activities of sales support staff.- Liaison between clients, investment manage...

Education

  • 1991 - 1994
    Providence College
  • 1984 - 1987
    Bryant University

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Industry Focus. “Financial Services”

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