Pwm Risk Officer

Morgan Stanley

Base: $120,000 to $165,000 py; bonus/equity: may i...
Knowledge of sec finra firm compliance policies
Active series 7 8 63 65 licenses required
Ability to identify issues and trends in risk
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 non-revenue sharing position reports to the Senior Risk Officer and focuses on supervising risk, compliance, and legal functions at the branch level.
  • Morgan Stanley offers an opportunity to work alongside top talent with comprehensive employee benefits and a culture committed to diversity and inclusion.

Matching Summary

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

Salary

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

Skills & Requirements

Must-have

  • Knowledge of SEC FINRA Firm Compliance Policies
  • Active Series 7 8 63 65 licenses required
  • Ability to identify issues and trends in risk

Nice-to-have

  • Strong leadership capabilities or supervisory experience
  • Excellent judgment and ability to be discreet
  • Evidence of strong work ethic

Key Requirements

  • Bachelor's degree required
  • Active Series 7 license
  • Active Series 8 license
  • Active Series 63 license
  • Active Series 65 license
  • Previous industry experience

Work Rights

Not specified

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