Branch Risk & Compliance Lead

Morgan Stanley; Town of Florida (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, supervisory and compliance functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. The role focuses on ethics, regulatory adherence and maintaining a controlled environment.

You will supervise inquiries, monitor data security, coordinate with Legal and Compliance on complaints, support audits and training, and ensure timely approvals.

Qualifications

• Bachelor’s degree or equivalent education or 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.

Responsibilities

• Oversee risk, supervisory and compliance function for the branch.
• Escalate supervisory inquiries with Complex Manager and Regional Risk Officer.
• Promote ethics and regulatory compliance across Wealth Management.
• Coach staff on policies to foster risk awareness and a compliant environment.
• Ensure timely handling of approvals and procedures.
• Coordinate with Legal and Compliance on complaints and litigation.
• Support audits and remediation of findings.
• Monitor people risk and proactive client suitability assessments.
• Provide risk intelligence and liaison with Credit Committee matters.
• Partner with HR and Special Investigation Unit on risk-related issues.

Skills

Regulatory knowledge

Communication

Attention to detail

Problem solving

Leadership

Time management

Client interaction

Education

Bachelor’s degree or equivalent education/experience

Active FINRA licenses (Series 7/8 and 63/65 or 66)

Job description

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, supervisory and compliance functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. The role focuses on ethics, regulatory adherence and maintaining a controlled environment.

You will supervise inquiries, monitor data security, coordinate with Legal and Compliance on complaints, support audits and training, and ensure timely approvals.