Risk & Compliance Lead - Wealth Management

Morgan Stanley; Los Angeles (CA); On-site; USD 80,000 - 120,000; Full time

Job summary

Morgan Stanley is looking for a professional responsible for risk management and compliance functions in Los Angeles. This role involves overseeing all risk and supervisory duties, ensuring compliance with industry regulations, and providing guidance on policies and procedures.

Candidates should possess a Bachelor’s degree, relevant industry experience, and must hold active licenses such as Series 7 and 63. Effective communication and strong leadership capabilities are essential.

Qualifications

• Bachelor's degree required or equivalent education or experience.
• Previous industry experience is necessary.
• Active licenses (Series 7, 8, and 63/65) required for role.

Responsibilities

• Primary responsibility for risk, supervisory and compliance functions.
• Facilitates supervisory inquiries and processes.
• Provides coaching on policies to promote compliance.

Skills

Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures

Effective written and verbal communication skills

Strong attention to detail

Ability to prioritize and resolve complex problems

Leadership capabilities or previous supervisory experience

Ability to interact with Financial Advisors and clients

Excellent judgment

Education

Bachelor’s degree or equivalent education or experience

Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)

Job description

Morgan Stanley is looking for a professional responsible for risk management and compliance functions in Los Angeles. This role involves overseeing all risk and supervisory duties, ensuring compliance with industry regulations, and providing guidance on policies and procedures.

Candidates should possess a Bachelor’s degree, relevant industry experience, and must hold active licenses such as Series 7 and 63. Effective communication and strong leadership capabilities are essential.