Risk Officer

Morgan Stanley

Knowledge of sec finra firm compliance policies
Ability to identify issues and trends in risk
Strong leadership capabilities or supervisory experience
The Risk Officer is responsible for maintaining a consistent controlled environment through adherence to business ethics and all applicable laws

Job Summary

  • The Risk Officer is responsible for maintaining a consistent controlled environment through adherence to business ethics and all applicable laws.
  • This role involves dual reporting to the Complex Manager and Senior Risk Officer while overseeing risk, supervisory, and compliance functions.
  • Morgan Stanley offers an environment where employees are supported and empowered with comprehensive benefits and opportunities for career movement.

Matching Summary

The Risk Officer is responsible for maintaining a consistent controlled environment through adherence to business ethics and all applicable laws.

Skills & Requirements

Must-have

  • Knowledge of SEC FINRA Firm Compliance Policies
  • Ability to identify issues and trends in risk
  • Strong leadership capabilities or supervisory experience

Nice-to-have

  • Excellent judgment and ability to be discreet
  • Proactive client contact in determining suitability
  • Strong work ethic and collaborative mindset

Key Requirements

  • Bachelor's degree required
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
  • Previous industry experience required

Work Rights

Not specified

Tailored Resume

Cover Letter