Risk Officer

Position Summary

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. Working with the Senior Risk Officer, the Risk Officer maintains a controlled environment through adherence to business ethics, adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Risk Officer reports to the Senior Risk Officer and keeps the Senior Risk Officer informed of significant matters.

This is a non‑revenue sharing position.

• Primary responsibility for all risk, supervisory, and compliance functions for respective branch location(s).
• Facilitates supervisory inquiries or processes that require escalation from the Senior Risk Officer and/or the Regional Risk Officer.
• Focuses on business ethics and regulatory and compliance practices.
• Provides coaching and guidance on policies and procedures to promote risk awareness and a compliant environment.
• Ensures proper procedures are in place to handle approvals appropriately and timely.

• Monitors and implements procedures to manage all facets of risk, including data security.
• Facilitates regular communication of Morgan Stanley Wealth Management policies and other regulations.
• Liaises with the Legal and Compliance Division on customer complaints and litigation.
• Ensures appropriate supervisory coverage is maintained at all times with the Market Manager and Senior Risk Officer.
• 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 audit findings are appropriately responded to and remediated.
• Works with Market Manager and Senior Risk Officer to monitor people risk, taking appropriate action.
• Responsible for proactive client contact to determine suitability and manage risk.
• Involves actively with the region regarding matters presented to the Credit Committee.
• Provides the primary source of risk intelligence on clients and FAs.

• Works closely with Special Investigation Unit on any Human Resources issues related to risk and compliance.
• Facilitates training on Morgan Stanley Wealth Management compliance policies and procedures with the Senior Risk Officer.
• Assists in the review and onboarding of 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).
• 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 escale 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 discretion in all matters.
• Strong work ethic.

• Senior Risk Officer.

At Morgan Stanley, we raise, manage and allocate capital for our clients, helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide the decisions we make every day. Our teams are relentless collaborators and creative thinkers, and we are proud to support our employees and their families at every point along their work‑life journey, offering the most attractive and comprehensive benefits and perks in the industry.

Salary range for the position: $120k – $160k per year. The successful candidate may be eligible for an annual discretionary incentive compensation award or for the relevant business unit’s incentive compensation…