Risk Officer

Risk Officer and/or the Regional Risk Officer

• Focuses on business ethics and regulatory and compliance practices

• Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment

• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely

Risk Management/Compliance/Legal

• 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 with customer complaints and litigation

• Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times

• Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market has procedures in place

• Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated

• Works with Market Manager and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken

• Responsible for proactive client contact in determining suitability and managing risk

• Active involvement with the region regarding matters presented to the Credit Committee

• Primary source for intelligence on risk in regard to clients and FAs

Administrative

• Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.

• Together with the Senior Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.

• Assists in the review and on boarding of FA recruits

Education and/or Experience

• 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)

• Other licenses as required for role or by management

Knowledge/Skills

• 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 escalate as necessary

• Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies

• Evidence of strong leadership capabilities or previous 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 the ability to be discreet in all matters

• Strong work ethic

Reports to:

• Senior Risk Officer

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

We're committed to bringing passion and customer focus to the business.

Salary range for the position: $120,000 - $160,000 / Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).