Risk Officer

Role Overview

• 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
• Provides coaching and guidance on policies and procedures to promote risk awareness and a compliant environment
• Monitors and implements procedures to manage all facets of risk, including data security
• Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations
• Ensures appropriate supervisory coverage is maintained at all times
• Works with Market Manager and Senior Risk Officer to monitor people risk, ensuring appropriate action is taken

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)
• Strong knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to prioritize and resolve complex problems and escalate as necessary
• Evidence of strong leadership capabilities or previous supervisory experience

Benefits

• Health insurance
• 401(k) matching
• Flexible work arrangements
• Professional development opportunities
• Bonuses
• Comprehensive employee benefits