Morgan Stanley
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Risk Officer
role at
Morgan Stanley
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 to business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Risk Officer keeps the Senior Risk Officer informed of significant matters. This is a non-revenue sharing position that reports to the Senior Risk Officer.
Responsibilities
Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
Facilitate any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer.
Focus on business ethics and regulatory and compliance practices.
Provide coaching and guidance on policies and procedures to promote risk awareness and a compliant environment.
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely.
Monitors and implements procedures to manage all facets of risk, including data security.
Facilitate regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations.
Liaise with Legal and Compliance Division with customer complaints and litigation.
Work with Market Manager and Senior Risk Officer to maintain appropriate supervisory coverage at all times.
Oversee responsibilities outlined in the Branch Supervisory Manual and new policies to ensure the Complex has procedures in place.
Support in the preparation for and response to audits, and ensure audit findings are remediated.
Work with Market Manager and Senior Risk Officer to monitor people risk and take appropriate action.
Be proactively involved with clients to determine suitability and manage risk.
Collaborate with regional matters presented to the Credit Committee.
Serve as the primary source for intelligence on risk related to clients and Financial Advisors.
Qualifications – External Education and/or Experience
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/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 market problems and escalate as necessary.
Ability to identify issues and trends to anticipate change and provide solutions.
Evidence of strong leadership capabilities or previous supervisory experience.
Ability to organize and prioritize workflow in a deadline-oriented environment.
Ability to interact with Financial Advisors and clients.
Excellent judgment and discretion in all matters.
Strong work ethic.
Reports To
Senior Risk Officer.
What You Can Expect From Morgan Stanley We are committed to maintaining first-class service and high standards of excellence. Our values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — guide our decisions every day. We offer attractive and comprehensive employee benefits and opportunities to grow within the firm.
Equal opportunity: It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital or civil partnership status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
Portions of the original description that were not relevant to the role have been removed. Referrals or unrelated job listings have been omitted to maintain focus on the Risk Officer role.
#J-18808-Ljbffr
Risk Officer
role at
Morgan Stanley
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 to business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Risk Officer keeps the Senior Risk Officer informed of significant matters. This is a non-revenue sharing position that reports to the Senior Risk Officer.
Responsibilities
Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
Facilitate any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer.
Focus on business ethics and regulatory and compliance practices.
Provide coaching and guidance on policies and procedures to promote risk awareness and a compliant environment.
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely.
Monitors and implements procedures to manage all facets of risk, including data security.
Facilitate regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations.
Liaise with Legal and Compliance Division with customer complaints and litigation.
Work with Market Manager and Senior Risk Officer to maintain appropriate supervisory coverage at all times.
Oversee responsibilities outlined in the Branch Supervisory Manual and new policies to ensure the Complex has procedures in place.
Support in the preparation for and response to audits, and ensure audit findings are remediated.
Work with Market Manager and Senior Risk Officer to monitor people risk and take appropriate action.
Be proactively involved with clients to determine suitability and manage risk.
Collaborate with regional matters presented to the Credit Committee.
Serve as the primary source for intelligence on risk related to clients and Financial Advisors.
Qualifications – External Education and/or Experience
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/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 market problems and escalate as necessary.
Ability to identify issues and trends to anticipate change and provide solutions.
Evidence of strong leadership capabilities or previous supervisory experience.
Ability to organize and prioritize workflow in a deadline-oriented environment.
Ability to interact with Financial Advisors and clients.
Excellent judgment and discretion in all matters.
Strong work ethic.
Reports To
Senior Risk Officer.
What You Can Expect From Morgan Stanley We are committed to maintaining first-class service and high standards of excellence. Our values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — guide our decisions every day. We offer attractive and comprehensive employee benefits and opportunities to grow within the firm.
Equal opportunity: It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital or civil partnership status, pregnancy, veteran or military status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Finance and Sales
Portions of the original description that were not relevant to the role have been removed. Referrals or unrelated job listings have been omitted to maintain focus on the Risk Officer role.
#J-18808-Ljbffr