Risk Officer

Own day-to-day risk, supervisory, and compliance oversight for

E*TRADE

Self-Directed and covered client segments, including E*TRADE Premium & Special Client (ETPS) and Emerging Wealth Solutions (EWS). Maintain a strong control environment by promoting ethical business practices and ensuring adherence to applicable laws, regulations, and firm policies and procedures. Manage and facilitate supervisory inquiries and escalation requests from ETPS & EWS by partnering with the Senior Risk Officer (SRO), Associate/Regional Risk Officer (ARRO/RRO), and business management to drive timely resolution. Provide coaching and guidance to Relationship Managers, Team Leads, and Managers on supervisory expectations, policy interpretation, and procedural requirements to strengthen risk awareness and compliance culture. Ensure supervisory approvals and oversight case escalations are executed accurately and within required timeframes, validating that supervisory actions, documentation, and followup meet policy standards. Support compliance examinations and internal audit activities, including readiness planning, evidence collection, and timely response coordination. Oversee ongoing risk monitoring and control execution across key risk areas (including operational risk, conduct risk, and data/security-related risk) and implement enhancements as needed. Drive consistent communication of Morgan Stanley Wealth Management policies and regulatory expectations to service and supervisory teams, ensuring updates are understood and operationalized. Partner with Legal and Compliance on escalations, coordinating communications, documentation, and response support as appropriate. Ensure continuous and appropriate supervisory coverage, working with Management, Site Leaders, and the Senior Risk Officer to maintain coverage models and back-up plans. Oversee adherence to the E*TRADE Self-Directed Compliance and Supervisory Manual and support implementation of new policies/standards to ensure EWS and ETPS processes remain current and effective. Monitor people risk indicators (e.g., training, conduct trends, policy adherence), escalating concerns and partnering with leadership to ensure appropriate corrective action. Co-facilitate compliance and supervisory training, in partnership with the Senior Risk Officer, to ensure colleagues understand and apply Wealth Management compliance policies and procedures. Support onboarding risk controls for new hires, including Employee Investing/Activities Compliance (OBI/OBA approvals, private investment reviews, Monthly Employee Dashboard checks, and early-supervision routines). Conduct risk-based oversight reviews of service center activities—referrals, line-of-credit monitoring for regulatory compliance, account restrictions, disbursements and credits, trade/crypto supervision, and other control reviews as needed. Requirements 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) Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures. Clear, concise written and verbal communicator able to deliver guidance, training, and escalation updates to varied audiences. Detail-oriented with strong organizational skills; able to manage multiple priorities accurately in a deadline-driven environment. Applies structured analysis to identify issues/trends and drive timely, well-documented resolution and remediation, including escalation when needed. Demonstrated leadership and/or supervisory experience; able to partner effectively with business leadership and control partners. Exercises strong judgment and discretion in all business risk matters, including sensitive supervisory and conduct-related topics. Core Competencies Demonstrates expertise in risk management, compliance oversight, and supervisory practices within the financial services industry, ensuring adherence to SEC/FINRA regulations and internal policies. Capable of delivering effective training and guidance while managing multiple priorities in a fast-paced environment. Highest-signal resume keywords Risk Management Compliance Oversight SEC/FINRA Regulatory Knowledge Leadership Experience Supervisory Procedures ATS Optimization Keywords Hard Skills Risk Monitoring Operational Risk Management Conduct Risk Management Data Security Risk Management Policy Implementation Supervisory Approvals Escalation Management Compliance Examination Support Training Facilitation Structured Analysis Soft Skills Clear Communication Detail-Oriented Organizational Skills Judgment and Discretion Coaching and Guidance Certifications & Qualifications Series 7 Series 8 Series 63 Series 65 Series 9 Series 10 Industry Keywords E*TRADE Wealth Management Compliance Policies Supervisory Manual Risk Awareness Conduct Trends Employee Investing Compliance Regulatory Compliance Audit Activities Control Reviews #J-18808-Ljbffr Jobtailor