Base: $120,000 - $160,000 py; bonus/equity: not sp...
Supervisory compliance and risk functions
Adherence to business ethics and practices
Respond to supervisory alerts
The National Risk Officer is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices
Job Summary
The National Risk Officer is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices.
This position will support various risk and supervisory functions for a single Market and/or multiple Markets within a single Region and may provide Risk Officer coverage for functions specific to a single Market, a single Branch, or multiple branches within a Region.
Morgan Stanley offers attractive and comprehensive employee benefits and perks in the industry, with ample opportunity to move about the business for those who show passion and grit in their work.
Matching Summary
The National Risk Officer is responsible for a wide variety of supervisory, compliance and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices.
Salary
Base: $120,000 - $160,000 per year; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Supervisory compliance and risk functions
Adherence to business ethics and practices
Respond to supervisory alerts
Support risk and supervisory functions
Manage financial exploitation concerns
Prepare for branch exams and audits
Nice-to-have
Develop strong working relationships
Calm demeanor
Self-starter
Attention to detail
Work with diverse colleagues
Voice ideas
Key Requirements
Bachelor's degree or equivalent work experience
Previous industry experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
Strong knowledge of SEC, FINRA Rules and Regs
Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters