The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions, maintaining a consistent controlled environment through adherence to all applicable laws and policies
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 all applicable laws and policies.
Key responsibilities include surveillance, supervision, risk management, compliance, and liaising with Legal and Compliance for customer complaints and litigation.
Morgan Stanley offers a supportive and empowering environment with opportunities for growth, comprehensive employee benefits, and 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 consistent controlled environment through adherence to all applicable laws and policies.
Skills & Requirements
Must-have
supervisory and compliance functions
risk management procedures
data security monitoring
regulatory adherence
Nice-to-have
strong leadership capabilities
creative problem solving
collaborative environment
attention to detail
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