Risk Officer

About the role

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Risk Officer, the Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.

Responsibilities

• Surveillance and Supervision
  • 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 Complex 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 in order to promote risk awareness and a compliant environment
  • Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely
• Risk Management/Compliance/Legal
  • 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
  • Liaises with the Legal and Compliance Division with customer complaints and litigation
• Administrative
  • Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance
  • Facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures
  • Assists in the review and onboarding of FA recruits

Qualifications

• 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

Skills

• 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
• Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
• Evidence of strong leadership capabilities or previous supervisory experience
• Ability to organize and prioritize workflow and assignments in a deadline oriented environment
• Excellent judgment and the ability to be discreet in all matters
• Strong work ethic

Pay

Commensurate with experience

Schedule

N/A

Benefits

N/A

Pay

Commensurate with experience

Schedule

N/A

Benefits

N/A