Risk Officer

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. Working with the Senior Risk Officer, the Risk Officer ensures a consistent controlled environment through ethical business practices and adherence to all applicable federal, state, and local laws, Morgan Stanley Wealth Management policies, and other regulations.

The role is a non-revenue sharing position, reporting to both the Complex Manager and the Senior Risk Officer.

• Surveillance and Supervision
  • Primary responsibility for all risk, supervisory, and compliance functions for the 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 compliance practices.
  • Provides coaching and guidance on policies and procedures to promote risk awareness and a compliant environment.
  • Ensures proper procedures are in place so 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 regulations.
  • Liaises with the Legal and Compliance Division on customer complaints and litigation.
  • Works with the Complex Manager and Senior Risk Officer to ensure appropriate supervisory coverage is maintained at all times.
  • Oversees responsibilities outlined in the Branch Supervisory Manual and new policies to ensure the Complex has procedures in place.
  • Supports preparation for and response to audits, ensuring all audit findings are appropriately responded to and remediated.
  • Works with the Complex Manager and Senior Risk Officer to monitor people risk and takes appropriate action.
  • Responsible for proactive client contact in determining suitability and managing risk.
  • Active involvement with the region regarding matters presented to the Credit Committee.
  • Primary source of intelligence on risk regarding clients and FAs.
  • Administrative responsibilities: works closely with the Special Investigation Unit on any Human Resources issues related to risk and compliance.
  • Facilitates training on Morgan Stanley Wealth Management compliance policies and procedures.
  • Assists in the review and onboarding of FA recruits.
  • Reports to Senior Risk Officer.

• 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 the role or by management.

• 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 to escalates as necessary.
• Ability to identify issues and trends 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.
• Ability to interact with Financial Advisors and clients.
• Excellent judgment and discretion in all matters.
• Strong work ethic.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. The workforce reflects a broad cross-section of the global communities in which we operate, providing a variety of backgrounds, talents, perspectives, and experiences.

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