The PWM Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, ensuring adherence to business ethics and regulations
Job Summary
The PWM Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, ensuring adherence to business ethics and regulations.
Key duties include surveillance, supervision, risk management, and liaising with Legal and Compliance for customer complaints and litigation.
The role involves proactive client contact for suitability and risk management, and active involvement with the region regarding Credit Committee matters.
Matching Summary
The PWM Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, ensuring adherence to business ethics and regulations.
Salary
Base: $120,000 - $165,000 per year; Bonus/Equity: Potential for commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages; Benefits: Other Morgan Stanley sponsored benefit programs
Skills & Requirements
Must-have
Supervisory and compliance functions
Risk management procedures
Data security monitoring
Client suitability assessment
Regulatory adherence
Nice-to-have
Proactive client engagement
Collaboration with Legal and Compliance
Strong ethical judgment
Key Requirements
Bachelor's degree or equivalent experience
Previous industry experience
Active Series 7, 8 (or 9 and 10), 63, 65 (or 66) licenses
Knowledge of SEC, FINRA, and Firm Compliance Policies