National Risk Officer

Duties And Responsibilities

• Primarily responsible for all risk, supervisory, and compliance functions for respective branch location(s)
• Reviews and responds to a variety of supervisory alerts in a timely and sufficient manner
• Support increased Risk Officer workload due to remediation requirements, new FA/FAA recruits onboarding, etc.
• Fills coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.)
• Afford assistance to Markets during periods of high-volume supervisory alerts
• Manage and respond to senior or vulnerable adult, financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley’s senior or vulnerable clients
• Facilitate any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO)
• Provide coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
• Interview clients where necessary, and collaborate with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts
• Liaise with the Legal and Compliance Division to respond to customer complaints and litigation
• Support the preparation for and response to all branch exams and internal audits, and ensure that any audit findings are appropriately responded to and remediated

Requirements

• Bachelor’s degree or equivalent work 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
• Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge
• Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred

Qualifications

• Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge
• Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred
• Effective written and verbal communication skills
• Ability to prioritize and resolve complex problems and escalate as necessary
• Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
• Ability to organize and prioritize tasks and assignments in a deadline-oriented environment
• Ability to interact with Financial Advisors and clients
• Excellent judgment and the ability to be discreet in all matters
• Strong quantitative and analytical skills
• High motivation and energy with ability to develop strong working relationships
• A calm demeanor and ability to work on multiple tasks at one time
• Self-starter with a strong attention to detail
• Ability and willingness to voice ideas, in addition to following instructions
• Proficiency in MS Office, PowerPoint, Excel