Risk & Compliance Lead

Morgan-Stanley

Town of Islip (NY)

On-site

USD 120,000 - 170,000

Full time

5 days ago

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Job summary

Morgan Stanley in the Town of Islip, NY, is seeking a Risk Officer to supervise risk, compliance and supervisory functions for the branch. Working with the Senior Risk Officer, the role maintains a controlled environment and ensures adherence to applicable laws and Morgan Stanley Wealth Management policies.

The position emphasizes coaching on policies, risk monitoring, data security, audits, and client suitability in partnership with the Market Manager and Senior Risk Officer, under Morgan

Qualifications

Bachelor’s degree required or equivalent education or experience.
Previous industry experience.
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
Other licenses as required for role or by management.

Responsibilities

Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
Monitors and implements procedures to manage all facets of risk, including data security.
Oversees responsibilities outlined in the Branch Supervisory Manual and new policies.
Assists in onboarding FA recruits and reviews for risk and compliance.

Skills

Leadership experience

Strong written and verbalcommunication

Attention to detail

Prioritize and resolve complex issues

Interact with Financial Advisors and t

Education

Bachelor’s degree or equivalent education/experience

Previous industry experience

Active Series 7, 8/9,10 and 63,65/66 licenses

Other licenses as required

Job description

The position emphasizes coaching on policies, risk monitoring, data security, audits, and client suitability in partnership with the Market Manager and Senior Risk Officer, under Morgan

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