Branch Risk & Compliance Officer

Morgan-Stanley; Nashville (TN); Vor Ort; USD 120.000 - 180.000; Vollzeit

Zusammenfassung

Morgan Stanley in Nashville seeks a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. This role reports to the Complex Manager and the Senior Risk Officer, ensuring adherence to policies and regulations and timely escalation of issues.

The candidate will coach on policy, manage risk, and support audits, with emphasis on ethics, data security, and client suitability. Strong leadership and communication are essential for success.

Qualifikationen

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

Aufgaben

• Surveillance and supervision for risk, compliance, and supervisory functions.
• Coordinate with Complex Manager and Senior Risk Officer on audits and remediation.
• Monitor data security and regulatory compliance to maintain a controlled environment.
• Assist in onboarding of Financial Advisors and reviews of recruits.
• Liaise with Legal and Compliance for customer concerns and litigation.

Kenntnisse

Communication skills

Attention to detail

Leadership

Time management

Problem solving

Client interaction

Judgment

Ausbildung

Bachelor’s degree

Jobbeschreibung

Morgan Stanley in Nashville seeks a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. This role reports to the Complex Manager and the Senior Risk Officer, ensuring adherence to policies and regulations and timely escalation of issues.

The candidate will coach on policy, manage risk, and support audits, with emphasis on ethics, data security, and client suitability. Strong leadership and communication are essential for success.