Risk Officer

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. The role reports to the Senior Risk Officer and has accountability for maintaining a consistent controlled environment through adherence to business ethics, practices, and all applicable laws and regulations. Duties and Responsibilities Primary responsibility for all risk, supervisory, and compliance functions for the assigned branch location(s). Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer. Focuses on business ethics and regulatory compliance practices. Provides coaching and guidance on policies and procedures to promote risk awareness and a compliant environment. Ensures proper procedures are in place so approvals are handled appropriately and in a timely manner. Monitors and implements procedures to manage all facets of risk, including data security. Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations. Liaises with the Legal and Compliance Division regarding customer complaints and litigation. Works with the Market Manager and Senior Risk Officer to ensure appropriate supervisory coverage at all times. Oversees responsibilities outlined in the Branch Supervisory Manual and new policies to ensure the Market has proper procedures in place. Supports preparation for and response to audits, ensuring audit findings are appropriately addressed and remediated. Monitors people risk with the Market Manager and Senior Risk Officer, ensuring appropriate action is taken. Responsible for proactive client contact to determine suitability and manage risk. Actively involved with the region regarding matters presented to the Credit Committee. Primary source for risk intelligence regarding clients and FAs. Works closely with the Special Investigation Unit on any Human Resources issues related to risk and compliance. Facilitates training on Morgan Stanley Wealth Management compliance policies and procedures. Assists in the review and onboarding of FA recruits. Qualifications Bachelor’s degree required 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 the role or by management. Knowledge of SEC, FINRA, and firm compliance policies and procedures. Effective written and verbal communication skills. Strong attention to detail. Ability to prioritize and resolve complex problems and to appropriately escalated them. Ability to identify issues and trends to anticipate change and provide comprehensive solutions. Evidence of strong leadership capabilities or prior supervisory experience. Ability to organize and prioritize workflow and assignments in a deadline‑oriented environment. Ability to interact with financial advisors and clients. Excellent judgment and discretion in all matters. Strong work ethic. Reports to: Senior Risk Officer Morgan Stanley is an equal opportunity employer committed to building and maintaining a diverse workforce. #J-18808-Ljbffr