Risk & Compliance Lead – Wealth Management

711 MS Smith Barney, LLC; California; On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley Wealth Management in California seeks a Risk Officer to oversee risk, supervision and compliance across branch locations. The role partners with the Senior Risk Officer to maintain a strong control environment and adhere to laws and policies.

You will coach staff on procedures, support audits, and coordinate with Legal and Compliance to address findings, data security, and regulatory matters. This is a senior, non-revenue sharing position reporting to the Senior Risk Officer.

Qualifications

• Bachelor’s degree or equivalent education or experience.
• Active securities licenses (7/8/9/10) and 63/65/66 or as required by management.
• Previous industry experience in risk, compliance or supervision.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Escalate inquiries to Senior Risk Officer and Regional Risk Officer.
• Coach on policies and procedures to promote risk awareness.
• Ensure timely and proper approvals and procedures.
• Support audits and remediate findings with appropriate actions.
• Collaborate with Legal and Compliance on investigations and training.

Skills

Regulatory compliance

Leadership

Communication

Risk management

Education

Bachelor's degree

Series 7/8/9/10; 63/65/66 licenses

Job description

Morgan Stanley Wealth Management in California seeks a Risk Officer to oversee risk, supervision and compliance across branch locations. The role partners with the Senior Risk Officer to maintain a strong control environment and adhere to laws and policies.

You will coach staff on procedures, support audits, and coordinate with Legal and Compliance to address findings, data security, and regulatory matters. This is a senior, non-revenue sharing position reporting to the Senior Risk Officer.