About the role

  • Risk Officer managing all supervisory, compliance, and risk functions for branch locations at Morgan Stanley. Ensuring adherence to Federal, State, and Local laws while promoting a compliant environment.

Responsibilities

  • Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
  • Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer
  • Focuses on business ethics and regulatory and compliance practices
  • Monitors and implements procedures to manage all facets of risk, including data security
  • Ensures appropriate supervisory coverage is maintained at all times

Requirements

  • Bachelor’s degree required or equivalent education or experience
  • Previous industry experience
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
  • Other licenses as required for role or by management
  • Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
  • Evidence of strong leadership capabilities or previous supervisory experience
  • Ability to prioritize and resolve complex problems and escalate as necessary.

Benefits

  • Comprehensive employee benefits and perks
  • Opportunities for professional development and growth.
  • Flexible work arrangements to support work-life balance.

Job title

Risk Officer

Job type

Experience level

Mid levelSenior

Salary

$120,000 - $160,000 per year

Degree requirement

Bachelor's Degree

Location requirements

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