Pwm Risk Officer

Morstan

Base: $120,000 to $165,000 py; bonus/equity: possi...
Risk and compliance supervision
Regulatory and compliance practices
Business ethics adherence
The PWM Risk Officer is responsible for maintaining a controlled environment through adherence to business ethics, regulatory compliance, and company policies

Job Summary

  • The PWM Risk Officer is responsible for maintaining a controlled environment through adherence to business ethics, regulatory compliance, and company policies.
  • This role involves supervising risk and compliance functions, facilitating audits, managing client risk, and supporting training on compliance policies.
  • Morgan Stanley offers a supportive and empowering work environment with comprehensive benefits and opportunities for career growth.

Matching Summary

The PWM Risk Officer is responsible for maintaining a controlled environment through adherence to business ethics, regulatory compliance, and company policies.

Salary

Base: $120,000 to $165,000 per year; Bonus/Equity: Possible commission, incentive compensation, discretionary bonuses; Benefits: Comprehensive employee benefits and perks

Skills & Requirements

Must-have

  • Risk and compliance supervision
  • Regulatory and compliance practices
  • Business ethics adherence
  • Audit preparation and response
  • Client suitability and risk management
  • Communication of policies and regulations

Nice-to-have

  • Coaching and guidance skills
  • Strong leadership capabilities
  • Ability to prioritize and resolve complex problems
  • Discretion and excellent judgment
  • Collaboration with legal and compliance teams

Key Requirements

  • Bachelor’s degree or equivalent experience
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
  • Previous industry experience
  • Knowledge of SEC, FINRA, and Firm Compliance Policies

Work Rights

Not specified

Tailored Resume

Cover Letter