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, liaising with Legal and Compliance, and supporting audits and FA recruitments.
Morgan Stanley offers comprehensive employee benefits, opportunities for career growth, and a supportive environment with a commitment to diversity and inclusion.
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
Base: $120,000 - $165,000 per year; Bonus/Equity: Potential commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages; Benefits: Other Morgan Stanley sponsored benefit programs
Skills & Requirements
Must-have
Adherence to laws and regulations
Risk and compliance oversight
Supervisory inquiry facilitation
Client suitability assessment
Data security monitoring
Nice-to-have
Proactive client engagement
Strong ethical judgment
Collaborative team environment
Commitment to diversity and inclusion
Key Requirements
Bachelor's degree or equivalent 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