The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence of 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 of business ethics and practices.
Key responsibilities include surveillance, supervision, risk management, compliance, legal liaison, and supporting audits and investigations.
Morgan Stanley offers a full spectrum of benefits, including Medical, Dental, Vision, 401(k), and generous Paid Time Off.
Matching Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence of business ethics and practices.
Salary
$120,000 - $160,000 per year; Bonus/Equity: Eligible for annual discretionary incentive compensation award and business unit incentive plan; Benefits: Full spectrum of benefits including Medical, Dental, Vision, 401(k), PTO, Paid Holidays
Skills & Requirements
Must-have
Supervisory and compliance functions
Risk management and data security
Adherence to regulations and policies
Client suitability and risk management
Regulatory and compliance practices
Nice-to-have
Strong leadership capabilities
Proactive client engagement
Collaborative team environment
Commitment to diversity and inclusion
Key Requirements
Bachelor’s degree or equivalent experience
Industry experience required
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses
Knowledge of SEC, FINRA, and Firm Compliance Policies