Branch Risk & Compliance Lead

711 MS Smith Barney, LLC; Tysons (VA); On-site; USD 70,000 - 115,000; Full time

Job summary

Morgan Stanley in Tysons, VA is seeking a Risk Officer to supervise risk, compliance, and supervisory activities across branch locations. The role collaborates with the Senior Risk Officer and Complex Manager to ensure ethics and regulatory adherence and timely risk escalation.

The candidate will monitor risk, manage data security, and support audits while providing coaching on policies and procedures to drive a compliant environment. Strong leadership and FINRA licensing are required.

Qualifications

• Bachelor’s degree or equivalent education or experience required.
• Previous industry experience in financial services or wealth management preferred.
• Active FINRA licenses: Series 7, 8/9/10, 63 and 65/66 or other management licenses as required.

Responsibilities

• Owns risk, supervisory, and compliance duties for branch locations.
• Escalates complex inquiries through the Senior Complex Risk Officer and Regional Risk Officer.
• Promotes ethics, compliance, and policy adherence across the organization.
• Supports audits and remediates findings; guides policy implementations.
• Educates and mentors on risk and compliance for staff and Advisors.

Skills

Regulatory compliance

Risk management

Supervisory experience

Leadership

Communication skills

Data security awareness

Education

Bachelor’s degree or equivalent education or experience

Active FINRA licenses: Series 7, 8/9/10, 63, 65/66

Job description

Morgan Stanley in Tysons, VA is seeking a Risk Officer to supervise risk, compliance, and supervisory activities across branch locations. The role collaborates with the Senior Risk Officer and Complex Manager to ensure ethics and regulatory adherence and timely risk escalation.

The candidate will monitor risk, manage data security, and support audits while providing coaching on policies and procedures to drive a compliant environment. Strong leadership and FINRA licensing are required.