Branch Risk & Compliance Leader

Morgan Stanley; McLean (VA); On-site; USD 70,000 - 115,000; Full time

Job summary

Morgan Stanley in McLean, Virginia seeks a Risk Officer responsible for risk, supervisory and compliance functions across the Wealth Management branch. The role reports to the Complex Manager and Senior Risk Officer, focusing on ethics, policy adherence, and timely approvals.

The incumbent supports audits, data security, and liaises with Legal and Compliance to ensure proper supervisory coverage and proactive risk management. Strong leadership and client-risk management are essential.

Qualifications

• Bachelor’s degree or equivalent education/experience.
• Active Series 7, 8 (or 9/10) and 63/65 (or 66) licenses.
• Knowledge of SEC, FINRA and Firm Compliance policies.

Responsibilities

• Primary responsibility for risk, supervisory, and compliance for branch locations.
• Escalate supervisory inquiries through Senior Complex Risk Officer and Regional Risk Officer.
• Promote ethics and regulatory compliance practices; coach on policies.
• Ensure appropriate and timely approvals are handled.
• Assist in audits and remediation of findings.

Skills

Regulatory knowledge

Communication skills

Attention to detail

Leadership experience

Problem solving

Work prioritization

Client interaction

Judgement and discretion

Education

Bachelor’s degree

Active Series 7, 8, 63, 65, 66 licenses

Job description

Morgan Stanley in McLean, Virginia seeks a Risk Officer responsible for risk, supervisory and compliance functions across the Wealth Management branch. The role reports to the Complex Manager and Senior Risk Officer, focusing on ethics, policy adherence, and timely approvals.

The incumbent supports audits, data security, and liaises with Legal and Compliance to ensure proper supervisory coverage and proactive risk management. Strong leadership and client-risk management are essential.