Morgan Stanley
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National Risk Officer
role at
Morgan Stanley
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Duties & 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.
Fill coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.)
Assist Markets during periods of high-volume supervisory alerts
Manages and responds to senior or vulnerable adult, financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley’s senior or vulnerable clients
Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO)
Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
Interview clients where necessary, and collaborates with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts
Liaises with the Legal and Compliance Division to respond to customer complaints and litigation
Supports the preparation for and response to all branch exams and internal audits, and ensures that any audit findings are appropriately responded to and remediated
National Risk Officers may travel to different Markets within the Region to provide support, as needed
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
Effective written and verbal communication skills
Ability to prioritize and resolve complex problems and escape 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 to work well with colleagues across a diverse range of working groups in a fast‑paced environment
Excellent problem‑solving and business judgment
Strong organizational, planning and time management skills
Ability and willingness to voice ideas, in addition to following instructions
Proficiency in MS Office, PowerPoint, Excel
Qualifications & Skills
Bachelor’s degree or equivalent work experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge
Effective written and verbal communication skills
Ability to prioritize and resolve complex problems and escape as necessary
Proficiency in MS Office, PowerPoint, Excel
What You Can Expect From Morgan Stanley We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values – putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back – aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered.
Expected base pay range: $120,000–$160,000 per year at the commencement of employment. Compensation may include commission, incentive, bonuses and other benefit programs.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.
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National Risk Officer
role at
Morgan Stanley
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Duties & 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.
Fill coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.)
Assist Markets during periods of high-volume supervisory alerts
Manages and responds to senior or vulnerable adult, financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley’s senior or vulnerable clients
Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO)
Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
Interview clients where necessary, and collaborates with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts
Liaises with the Legal and Compliance Division to respond to customer complaints and litigation
Supports the preparation for and response to all branch exams and internal audits, and ensures that any audit findings are appropriately responded to and remediated
National Risk Officers may travel to different Markets within the Region to provide support, as needed
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
Effective written and verbal communication skills
Ability to prioritize and resolve complex problems and escape 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 to work well with colleagues across a diverse range of working groups in a fast‑paced environment
Excellent problem‑solving and business judgment
Strong organizational, planning and time management skills
Ability and willingness to voice ideas, in addition to following instructions
Proficiency in MS Office, PowerPoint, Excel
Qualifications & Skills
Bachelor’s degree or equivalent work experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge
Effective written and verbal communication skills
Ability to prioritize and resolve complex problems and escape as necessary
Proficiency in MS Office, PowerPoint, Excel
What You Can Expect From Morgan Stanley We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values – putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back – aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered.
Expected base pay range: $120,000–$160,000 per year at the commencement of employment. Compensation may include commission, incentive, bonuses and other benefit programs.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce.
#J-18808-Ljbffr