Risk Officer

Risk Officer

In partnership with the Senior Risk Officer, the Risk Officer maintains a controlled environment through adherence to business ethics, regulatory practices, and all applicable federal, state, local laws and Morgan Stanley Wealth Management policies. This non-revenue sharing role reports to the Senior Risk Officer and keeps the Senior Risk Officer informed of significant matters.

The Risk Officer is responsible for supervisory, compliance, and risk functions across branch locations. The role oversees risk, supervisory coverage, audit response, regulatory communication, client contact, and proactive risk intelligence.

• Surveillance and supervision: primary responsibility for risk, supervisory, and compliance functions for branch locations; facilitates supervisory inquiries; focuses on business ethics and regulatory compliance; provides coaching and guidance on policies and procedures; ensures proper approval procedures.
• Risk Management/Compliance/Legal: monitors and implements procedures to manage all facets of risk, including data security; facilitates regular of Morgan Stanley policies and regulations; liaises with the Legal and Compliance Division on customer complaints and litigation; ensures appropriate supervisory coverage; prepares for and responds to audits; monitors people risk; provides proactive client contact and client suitability; serves as primary source for risk intelligence.
• Administrative: works closely with the Special Investigation Unit on human resources risk issues; facilitates compliance training; assists in the review and onboarding of FA recruits.

• Bachelor’s degree required (or equivalent education or experience).
• Previous industry experience preferred.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) required; other licenses as required for 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 identify issues and trends for preventive solutions.
• Evidence of strong leadership capabilities or previous supervisory experience.
• Ability to organize and prioritize workflow; interact with financial advisors and clients; excellent judgment and discretion.
• Strong work ethic.

Senior Risk Officer

Morgan Stanley maintains first‑class service and high standards of excellence. We value clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back. Our teams collaborate and think creatively, supported and empowered. You will find opportunities to move about the business for those who show passion and grit.

Salary range: $120k – $160k per year. Eligible for discretionary incentive compensation and/or the relevant business unit incentive plan.

Benefits include medical, dental, vision, prescription drug, health savings account, disability, life insurance, paid time off, 401(k), holidays, short and long term disability, and other special perks. For detailed benefit information, visit

Morgan Stanley fosters a diverse workforce and is an equal‑opportunity employer.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce. We do not discriminate on the basis of race, color, religion, creed, age, sex, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital status, veteran or military service status, or any other characteristic protected by law. (EEO & Disability/Vet Statement)