Risk Officer

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 maintains a consistent controlled environment through adherence to business ethics, applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.

• Lead surveillance and supervision of all risk, supervisory, and compliance functions for the assigned branch location(s).
• Facilitate any supervisory inquiry or process that requires escalation to the Senior Risk Officer or Regional Risk Officer.
• Focus on business ethics and regulatory compliance practices.
• Provide coaching and guidance on policies and procedures to promote risk awareness and a compliant environment.
• Ensure proper procedures are in place for timely approvals.
• Monitor and implement procedures to manage all facets of risk, including data security.
• Communicate regularly and consistently Morgan Stanley Wealth Management policies and regulations.
• Liaise with the Legal and Compliance Division regarding customer complaints and litigation.
• Work with the 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 proper procedures.
• Support preparation for and response to audits, and remediate audit findings.
• Monitor people risk with the Market Manager and Senior Risk Officer, ensuring appropriate action.
• Proactively contact clients to determine suitability and manage risk.
• Collaborate with the region on matters presented to the Credit Committee.
• Serve as the primary source of intelligence on risk regarding clients and FAs.
• Work closely with the Special Investigation Unit on HR-related risk and compliance issues.
• Facilitate training on Morgan Stanley Wealth Management compliance policies and procedures.
• Assist in reviewing and onboarding FA recruits.

• 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) licenses; other required licenses as per role or 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, escalating as necessary.
• Ability to identify issues and trends to anticipate change and provide comprehensive solutions.
• 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.

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

Reports to:

Senior Risk Officer.

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. For more information, visit