National Risk Officer

National Risk Officer is responsible for a wide variety of supervisory, compliance and risk functions. In collaboration with the Senior Risk Officer and the Associate/Regional Risk Officer, the National Risk Officer maintains a controlled environment through adherence to business ethics, policies, and all applicable Federal, State, and Local laws, as well as Morgan Stanley Wealth Management policies and other regulations. The role supports risk and supervisory functions for a single Market or multiple Markets within a single Region and may provide coverage for a single branch, multiple branches, or an entire Market.

• 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
• Supports increased Risk Officer workload due to remediation requirements, new FA/FAA recruits onboarding, and other operational needs
• Fills coverage and/or resource gaps resulting from temporary Risk Officer attrition or shortages such as turnover and resignations
• Assists 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 or the Associate/Regional Risk Officer
• Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
• Interviews 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, ensuring that any audit findings are appropriately responded to and remediated
• May travel to different Markets within the Region to provide support as needed

• Bachelor’s degree or equivalent work experience
• Previous industry experience is preferred
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66); other licenses as required for the role or by management
• Strong knowledge of SEC, FINRA Rules and Regulations, including Investment and Product Knowledge
• Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters is preferred
• Effective written and verbal communication skills
• Ability to prioritize and resolve complex problems and to escape as necessary
• Ability to identify issues and trends to anticipate change and provide recommended comprehensive solutions and remedies
• Ability to organize and prioritize tasks 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 diverse 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, and Excel

Expected base pay rates for the role will be between $120,000 and $160,000 per year at the commencement of employment. Base pay is determined on an individualized basis and is only part of the total compensation package, which may include commission earnings, incentive compensation, discretionary bonuses, short‑term and long‑term incentive packages, and other Morgan Stanley‑sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).