The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a controlled environment through adherence to business ethics and regulations
Job Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a controlled environment through adherence to business ethics and regulations.
Key responsibilities include surveillance, supervision, risk management, compliance, legal liaison, audit support, and proactive client contact for suitability and risk management.
Morgan Stanley offers a full spectrum of benefits, including Medical, Dental, Vision, 401(k), and paid time off, supporting employees and their families.
Matching Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a controlled environment through adherence to business ethics and regulations.
Salary
$120,000 and $165,000 per year; Discretionary incentive compensation award and discretionary bonus component; 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), Short/Long Term Disability
Skills & Requirements
Must-have
risk, supervisory, and compliance function
adherence to business ethics and practices
data security management
client suitability and risk management
liaise with Legal and Compliance Division
Nice-to-have
strong leadership capabilities
creative thinkers
passion and grit
Key Requirements
Bachelor’s degree or equivalent education/experience
Previous industry experience
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
Knowledge of SEC, FINRA and Firm Compliance Policies