Regulatory Risk & Compliance Lead

Morgan Stanley; Beverly Hills (CA); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley in the United States is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer. The role focuses on ethics, adherence to laws, and proactive risk management within Wealth Management.

Responsibilities include guiding policies, supervising risk programs, and ensuring timely escalations while maintaining strong data security and client protections.

Qualifications

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

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Coordinate with Senior Risk Officer and Regional Risk Officer on escalations and inquiries.
• Monitor data security and regulatory compliance; support audits and remediation of findings.

Skills

Regulatory knowledge

Leadership

Governance

Communication

Issue identification

Education

Bachelor’s degree or equivalent

Industry licenses (Series 7/8/9/10; 63/65/66)

Job description

Morgan Stanley in the United States is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer. The role focuses on ethics, adherence to laws, and proactive risk management within Wealth Management.

Responsibilities include guiding policies, supervising risk programs, and ensuring timely escalations while maintaining strong data security and client protections.