Central Review Unit Risk Officer

Morgan Stanley; South Jordan (UT); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley is seeking a Central Review Unit Risk Officer to execute comprehensive reviews across risk and regulatory domains. You will collaborate with Field Risk, Compliance, Legal, and Business partners to ensure consistent risk management practices and remediation where needed.

The role requires strong investigative and analytical abilities, and experience with securities regulations. You will participate in enterprise-wide supervisory activities and contribute to improving the control

Qualifications

• Strong investigative and problem-solving abilities.
• Familiarity with SEC, FINRA and firm compliance policies.
• Excellent written and verbal communication skills.
• Ability to assess risk implications and identify trends.
• Capacity to manage large workloads independently.

Responsibilities

• Execute centralized supervisory and risk reviews using established methodologies.
• Review alerts and risk indicators and document findings per procedures.
• Apply policies and regulatory requirements consistently across markets.
• Identify emerging risks and opportunities for process improvement.
• Prepare clear documentation and recommendations resulting from reviews.
• Support regulatory examinations and internal audits with analysis and SME input.

Skills

Investigative skills

Problem-solving

Policy familiarity

Communication skills

Data analytics

Excel proficiency

Education

Bachelor's degree

Tools

Excel

Data analytics tools

Job description

The Central Review Unit Risk Officer is a member of the Central Review Unit (CRU) and is responsible for executing a comprehensive suite of controls to monitor potential sales practices, suitability, and regulatory compliance issues. Through a consistent, standardized review framework, the Central Review Unit Risk Officer helps ensure the effective application of Firm policies, regulatory requirements, and supervisory practices across the organization.

The Central Review Unit Risk Officer partners with Field Risk leadership, Compliance, Legal, and Business partners to conduct independent supervisory reviews, identify emerging risks and trends, recommend appropriate remediation, and promote consistent risk management practices across all markets. This role supports the Firm's centralized supervisory model by delivering high-quality, risk-based reviews that enhance oversight, improve consistency, and strengthen the overall control environment.

Duties & Responsibilities

• Execute centralized supervisory and risk reviews using established enterprise review methodologies and standards.
• Review supervisory alerts, exceptions, and risk indicators in a timely manner and document findings in accordance with Firm procedures.
• Apply Firm policies and regulatory requirements consistently across all assigned reviews, regardless of geographic location or market.
• Identify emerging risks, control gaps, trends, and opportunities for process improvement, escalating issues as appropriate.
• Partner with Field Risk, Compliance, Legal, and Business partners to resolve supervisory matters and support timely remediation.
• Prepare clear, well-supported documentation and recommendations resulting from centralized reviews.
• Support regulatory examinations, internal audits, and control testing by providing documentation, analysis, and subject matter expertise.
• Provide feedback that contributes to the continuous improvement of centralized review methodologies, procedures, reporting, and quality standards.
• Collaborate across the Central Review Unit to promote consistency, knowledge sharing, and best practices.
• Develop and maintain strong working relationships with stakeholders while operating independently from local market management.
• Contribute to enterprise initiatives that enhance supervisory effectiveness, operational efficiency, and risk governance.

Qualifications

• Strong investigative and problem-solving skills, with the ability to manage tasks from start to finish.
• Familiarity with SEC, FINRA, and firm compliance policies.
• Excellent written and verbal communication skills.
• Proficiency in identifying issues and trends, offering comprehensive solutions.
• Strong organizational skills to prioritize tasks and meet deadlines.
• Independent problem-solving capabilities.
• Capacity to manage large workloads while maintaining supervision integrity.
• Proactive approach to managing workload and daily tasks.
• Ability to assess the broader risk implications of supervisory activities.
• Flexibility to handle a diverse and dynamic workload.
• Advanced technological proficiency, particularly in Excel and data analytics tools.

Experience

• 5-10 years of industry experience, with a focus on risk or compliance.
• Advanced understanding of Alternative Investments and complex products is advantageous.

Education

• Bachelor's degree or equivalent work experience.

Licenses and Registrations

• Active Series 7 & 66 (or 65 and 63) required.
• Series 9 and 10 (or 8) preferred, or the ability to obtain within 60 days of hire.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY

At Morgan Stanley, we raise, manage and allocate capital for our clients - helping them reach their goals. We do it in a way that's differentiated - and we've done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our stro