Risk Officer

Morgan Stanley

Los Angeles, United States
Base: $120,000 - $165,000 py; bonus/equity: not sp...
On-site
Supervisory and compliance functions
Risk awareness and a compliant environment
Data security risk management
The 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

Job Summary

  • The 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.
  • Key responsibilities include surveillance, supervision, risk management, compliance, legal liaison, and administrative duties such as training and FA recruit review.
  • Morgan Stanley offers attractive and comprehensive employee benefits and perks, with ample opportunity for growth for passionate and gritty employees.

Matching Summary

The 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.

Salary

Base: $120,000 - $165,000 per year; Bonus/Equity: Not specified; Benefits: Included in total compensation package

Skills & Requirements

Must-have

  • supervisory and compliance functions
  • risk awareness and a compliant environment
  • data security risk management
  • client suitability and risk management
  • SEC, FINRA and Firm Compliance Policies

Nice-to-have

  • strong leadership capabilities
  • prioritize and resolve complex problems
  • identify issues and trends
  • strong work ethic
  • excellent judgment and discretion

Key Requirements

  • Bachelor’s degree or equivalent education or experience
  • Previous industry experience
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
  • Other licenses as required for role or by management

Work Rights

Not specified

Tailored Resume

Cover Letter