Branch Risk & Compliance Leader

Morgan Stanley; Louisville (KY); On-site; USD 90,000 - 150,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to supervise risk, compliance, and ethics across branch locations. The role includes ensuring proper procedures, coaching on policies, and timely approvals, under dual reporting to the Complex Manager and Senior Risk Officer.

The ideal candidate will have a Bachelor’s degree, relevant licenses (Series 7/8/63/65/66), and strong communication, leadership, and problem-solving skills to support audits and regulatory compliance.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Active industry licenses as applicable (Series 7/8/63/65/66) per role.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Coordinate escalation with Complex Manager and Senior Risk Officer for inquiries.
• Ensure adherence to Morgan Stanley Wealth Management policies and applicable laws/regulations.
• Assist audits and respond to audit findings with remediation actions.
• Liaise with Legal and Compliance Division on customer complaints and litigation.

Skills

Leadership

Supervisory experience

Attention to detail

Strong communication

Problem solving

Education

Bachelor’s degree or equivalent

Tools

Series 7

Series 8

Series 63

Series 65/66

Job description

Morgan Stanley is seeking a Risk Officer to supervise risk, compliance, and ethics across branch locations. The role includes ensuring proper procedures, coaching on policies, and timely approvals, under dual reporting to the Complex Manager and Senior Risk Officer.

The ideal candidate will have a Bachelor’s degree, relevant licenses (Series 7/8/63/65/66), and strong communication, leadership, and problem-solving skills to support audits and regulatory compliance.