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About the Role
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a controlled environment through adherence to business ethics, practices, and applicable regulations. This non-revenue sharing position reports to the Senior Risk Officer.
Responsibilities
- Primary responsibility for all risk, supervisory, and compliance functions for respective branch location(s).
- Facilitate supervisory inquiries or processes requiring escalation from the Senior Risk Officer and/or Regional Risk Officer.
- Focus on business ethics and regulatory and 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 and appropriate approvals.
- Monitor and implement procedures to manage all facets of risk, including data security.
- Facilitate regular communication of Morgan Stanley Wealth Management policies and other regulations.
- Liaise with the Legal and Compliance Division regarding customer complaints and litigation.
- Ensure appropriate supervisory coverage is maintained at all times in conjunction with the Market Manager and Senior Risk Officer.
- Oversee responsibilities outlined in the Branch Supervisory Manual and new policies to ensure the Market has procedures in place.
- Support preparation for and response to audits, ensuring findings are appropriately responded to and remediated.
- Monitor people risk and ensure appropriate action is taken, working with the Market Manager and Senior Risk Officer.
- Proactively contact clients to determine suitability and manage risk.
- Actively involve the region regarding matters presented to the Credit Committee.
- Serve as the primary source for intelligence on risk concerning clients and FAs.
- Work closely with the Special Investigation Unit on Human Resources issues related to risk and compliance.
- Facilitate training on Morgan Stanley Wealth Management compliance policies and procedures with the Senior Risk Officer.
- Assist in the review and onboarding of FA recruits.
Requirements
- 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 role or by management.
Skills
- 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 escalate as necessary.
- Ability to identify issues and trends to anticipate change and provide 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 the ability to be discreet in all matters.
- Strong work ethic.
Location
- Branch location(s)
Work Type
- Full-time
Experience Level
- Previous industry experience
- Previous supervisory experience
Education Level
- Bachelor’s degree or equivalent education or experience
Salary/Compensations
- $120,000 - $170,000 per year
Benefits
- Commission earnings
- Incentive compensation
- Discretionary bonuses
- Other short and long-term incentive packages
- Morgan Stanley sponsored benefit programs
About the Company
- At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals.
- We have been operating for 90 years.
- Our values include putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back.
- We guide decisions daily to do what's best for our clients, communities and over 80,000 employees.
- We have employees in 1,200 offices across 42 countries.
- We offer an environment where employees are supported and empowered.
- Our teams are relentless collaborators and creative thinkers, fueled by diverse backgrounds and experiences.
- We support employees and their families with attractive and comprehensive employee benefits and perks.
- There is ample opportunity to move about the business for those who show passion and grit.
Equal Opportunity
- 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.
- Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.