Branch Risk & Compliance Lead

Socket.dev; Los Angeles (CA); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer. In partnership with the Senior Risk Officer, you will ensure adherence to laws and firm policies, support audits, and coach staff on risk awareness and ethics.

This full-time role is based in the Los Angeles area, offering competitive compensation, benefits, and close collaboration with clients and Financial Advisors to ensure

Qualifications

• Bachelor’s degree 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.

Responsibilities

• Primary responsibility for risk, supervisory, and compliance for branch locations.
• Escalate inquiries from Senior Risk Officer or Regional Risk Officer.
• Coach on policies to promote risk awareness and compliance.
• Ensure approvals are handled appropriately and timely.
• Monitor risk and data security; liaise with Legal and Compliance.
• Audit preparation and remediation follow-up.
• Maintain appropriate supervisory coverage with MarketManager and Senior Risk Officer.
• Proactively contact clients to determine suitability and manage risk.

Skills

Regulatory knowledge

Leadership experience

Communication skills

Attention to detail

Problem solving

Education

Bachelor’s degree or equivalent

Licenses: Series 7/8/63/65 or 66

Job description

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer. In partnership with the Senior Risk Officer, you will ensure adherence to laws and firm policies, support audits, and coach staff on risk awareness and ethics.

This full-time role is based in the Los Angeles area, offering competitive compensation, benefits, and close collaboration with clients and Financial Advisors to ensure