Branch Risk & Compliance Officer

Morgan Stanley; Delray Beach (FL); On-site; USD 110,000 - 160,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer for our Florida branch to oversee risk, compliance, and supervisory functions, reporting with the Senior Risk Officer and Complex Manager to maintain a controlled environment in line with policies and laws. The role emphasizes coaching, timely approvals, and proactive client risk assessment in a regulated, client-focused setting.

Engagement with SEC/FINRA frameworks, collaboration with Legal and Compliance, and ongoing staff development are key aspects of

Qualifications

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

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Escalate inquiries to Senior Complex Risk Officer and Regional Risk Officer as needed.
• Promote business ethics and regulatory compliance practices.
• Coach staff on policies and procedures to maintain risk awareness.
• Ensure timely and proper approvals and handling of processes.
• Support audits and remediate any findings.
• Monitor data security and risk indicators; advise on risk mitigation.

Skills

Risk management

Regulatory compliance

Leadership

Communication

Attention to detail

Problem solving

Client interaction

Education

Bachelor’s degree

Series 7/8/63/65/66 licenses

Job description

Morgan Stanley is seeking a Risk Officer for our Florida branch to oversee risk, compliance, and supervisory functions, reporting with the Senior Risk Officer and Complex Manager to maintain a controlled environment in line with policies and laws. The role emphasizes coaching, timely approvals, and proactive client risk assessment in a regulated, client-focused setting.

Engagement with SEC/FINRA frameworks, collaboration with Legal and Compliance, and ongoing staff development are key aspects of