The 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 and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations
Job Summary
The 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 and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.
Key responsibilities include surveillance and supervision, risk management/compliance/legal oversight, and administrative support for investigations and training.
Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off, 10 Paid Holidays, 401(k), and Short/Long Term Disability.
Matching Summary
The 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 and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations.
Salary
Base: $120,000 - $165,000 per year; Bonus/Equity: Eligible for annual discretionary incentive compensation award and business unit incentive plan; Benefits: Full spectrum of benefits offered
Skills & Requirements
Must-have
Adherence to business ethics and practices
Federal, State and Local laws
Morgan Stanley Wealth Management policies
Surveillance and Supervision
Risk Management/Compliance/Legal
Data security monitoring
Nice-to-have
Client suitability and risk management
Proactive client contact
Collaboration with Legal and Compliance
Strong leadership capabilities
Key Requirements
Bachelor’s degree or equivalent
Previous industry experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
Knowledge of SEC, FINRA and Firm Compliance Policies