Branch Risk & Compliance Officer

Morgan Stanley; Knoxville (TN); On-site; USD 110,000 - 150,000; Full time

Job summary

Morgan Stanley seeks a Risk Officer to oversee risk, supervision, and compliance for branch locations. The role ensures adherence to regulations and policies, with dual reporting to Complex Manager and Senior Risk Officer.

The incumbent will coach staff on risk frameworks, support audits, and maintain proactive client risk management. A senior, business-facing position requiring broad regulatory knowledge and leadership.

Qualifications

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

Responsibilities

• Oversees risk, supervisory, and compliance for branch locations.
• Supports audits and remediation of findings.
• Provides coaching on policies and procedures to ensure compliance.
• Maintains timely approvals and escalation processes.
• Communicates Morgan Stanley Wealth Management policies regionally.

Skills

Regulatory compliance

SEC/FINRA knowledge

Risk management

Leadership/supervision

Communication

Audit coordination

Education

Bachelor’s degree or equivalent

Active Series 7/8/63/65 licenses

Tools

MS Office

Policy management systems

Audit processes

Job description

Morgan Stanley seeks a Risk Officer to oversee risk, supervision, and compliance for branch locations. The role ensures adherence to regulations and policies, with dual reporting to Complex Manager and Senior Risk Officer.

The incumbent will coach staff on risk frameworks, support audits, and maintain proactive client risk management. A senior, business-facing position requiring broad regulatory knowledge and leadership.