Branch Risk & Compliance Leader

711 MS Smith Barney, LLC; Fort Lauderdale (FL); On-site; USD 90,000 - 150,000; Full time

Job summary

Morgan Stanley Wealth Management is seeking a Risk Officer to supervise risk, compliance, and control activities at the Fort Lauderdale-area branch. You will work with the Complex Manager and Senior Risk Officer to maintain a compliant environment, address audits, and coach staff on policies.

A Bachelor's degree is required, along with active licenses Series 7, 63/65 or 66. Candidates should show strong leadership, analytical ability, and the skill to manage multiple risk domains within a

Qualifications

• Bachelor’s degree required or equivalent education/experience
• Active Series 7 and 63/65 (or 66) licenses
• Knowledge of SEC, FINRA and Firm Compliance Policies

Responsibilities

• Primary responsibility for risk, supervisory, and compliance function for the branch
• Facilitates supervisory inquiries and escalations from senior risk roles
• Ensures proper procedures for approvals and timely handling of processes
• Supports audits and remediates findings
• Manages data security and regional risk considerations

Skills

Regulatory Compliance

Supervisory Experience

Risk Management

Communication Skills

Data Security

Education

Bachelor’s degree

Tools

Series 7

Series 63/65 or 66

Job description

Morgan Stanley Wealth Management is seeking a Risk Officer to supervise risk, compliance, and control activities at the Fort Lauderdale-area branch. You will work with the Complex Manager and Senior Risk Officer to maintain a compliant environment, address audits, and coach staff on policies.

A Bachelor's degree is required, along with active licenses Series 7, 63/65 or 66. Candidates should show strong leadership, analytical ability, and the skill to manage multiple risk domains within a