Base: $120,000 - $160,000 py; bonus/equity: may in...
Risk and supervisory functions
Compliance with laws and regulations
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 to business ethics and practices and all applicable laws and regulations
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 to business ethics and practices and all applicable laws and regulations.
Key duties include responding to supervisory alerts, managing concerns affecting senior or vulnerable clients, facilitating escalated inquiries, and providing coaching to Financial Advisors on risk awareness and compliance.
Morgan Stanley offers a superior foundation for building a professional career in a diverse and inclusive environment, with opportunities for growth and comprehensive employee benefits.
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 to business ethics and practices and all applicable laws and regulations.
Salary
Base: $120,000 - $160,000 per year; Bonus/Equity: May include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages; Benefits: Other Morgan Stanley sponsored benefit programs
Skills & Requirements
Must-have
Risk and supervisory functions
Compliance with laws and regulations
Respond to supervisory alerts
Financial exploitation concerns
Customer complaint response
Branch exam preparation
Nice-to-have
Strong team ethic
Professional career foundation
Calm demeanor
Attention to detail
Work well with 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) licenses
Knowledge of SEC, FINRA Rules and Regs
Knowledge of applicable laws for senior/vulnerable adults