Risk & Compliance Lead – Branch Oversight

Morgan-Stanley; Boca Raton (FL); On-site; USD 110,000 - 190,000; Full time

Job summary

Morgan Stanley in Boca Raton, FL seeks a Risk Officer to lead supervisory, compliance and risk functions for the branch, reporting to the Complex Manager and Senior Risk Officer.

The role emphasizes ethics, lawfulness, data security and proactive risk management, collaborating with Legal and Compliance and Internal Audit to uphold policies and address findings. A Bachelor's degree and active securities licenses are required, with demonstrated leadership.

Qualifications

• Bachelor's degree required or equivalent experience.
• Active securities licenses (Series 7/8 and 63/65 or 66) or as required by management.

Responsibilities

• Oversee risk, supervisory and compliance for branch locations.
• Escalate issues to Senior Risk Officer and Complex Manager as needed.
• Ensure adherence to Morgan Stanley Wealth Management policies and regulatory requirements.
• Coach staff on policies and procedures to promote risk awareness.
• Coordinate with Legal, Compliance, and Internal Audit during reviews and audits.
• Monitor data security and client risk, including suitability assessments.

Skills

Regulatory knowledge

Leadership

Risk management

Data security

Stakeholder communication

Audit liaison

Analytical thinking

Education

Bachelor's degree

Job description

Morgan Stanley in Boca Raton, FL seeks a Risk Officer to lead supervisory, compliance and risk functions for the branch, reporting to the Complex Manager and Senior Risk Officer.

The role emphasizes ethics, lawfulness, data security and proactive risk management, collaborating with Legal and Compliance and Internal Audit to uphold policies and address findings. A Bachelor's degree and active securities licenses are required, with demonstrated leadership.