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.
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