Risk & Compliance Lead - Branch Oversight

Morgan-Stanley; West Palm Beach (FL); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. In collaboration with the Senior Risk Officer, you will promote a compliant environment and ethical practices while ensuring timely escalation of issues.

The role requires strong leadership, detailed knowledge of SEC/FINRA rules, and the ability to coordinate audits and remediation efforts. This is a full-time on-site position based in West Palm Beach, Florida.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Effective written and verbal communication skills.
• Strong attention to detail.
• Leadership capabilities or previous supervisory experience.

Responsibilities

• Surveillance and supervision of risk, compliance, and supervisory functions for branch locations.
• Coordinate with Complex Manager and Senior Risk Officer on risk matters and escalations.
• Monitor data security and adherence to Morgan Stanley Wealth Management policies.
• Assist in audits and remediation of findings.
• Liaise with Legal and Compliance on customer complaints and litigation.
• Provide training on compliance policies and procedures.

Skills

Regulatory compliance

Risk management

Communication skills

Leadership

Education

Bachelor's degree

Equivalent education/experience

Tools

SEC policies

FINRA rules

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. In collaboration with the Senior Risk Officer, you will promote a compliant environment and ethical practices while ensuring timely escalation of issues.

The role requires strong leadership, detailed knowledge of SEC/FINRA rules, and the ability to coordinate audits and remediation efforts. This is a full-time on-site position based in West Palm Beach, Florida.