Risk & Compliance Leader

Morgan Stanley; Twelve Mile (IN); On-site; USD 90,000 - 150,000; Full time

Job summary

Morgan Stanley Wealth Management seeks a Risk Officer to supervise risk, compliance, and supervision across branch locations, reporting to the Complex Manager and Senior Risk Officer.

You will ensure adherence to SEC, FINRA, and internal policies, coordinate audits, and coach staff on procedures to maintain a compliant environment.

Bachelor’s degree required; Series 7/8/63/65 licenses; strong leadership and communication required to manage complex risk challenges across the region.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
• Other licenses as required for role or by management.
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Effective written and verbal communication skills.

Responsibilities

• Oversee risk, supervisory, and compliance for branch locations.
• Coordinate with Complex Manager and Senior Risk Officer on coverage.
• Support audits and remediate findings.
• Onboard FA recruits and train on compliance policies.
• Maintain data security and regulatory communications.

Skills

Regulatory knowledge

Leadership experience

Attention to detail

Communication skills

Risk assessment

Education

Bachelor’s degree

Job description

Morgan Stanley Wealth Management seeks a Risk Officer to supervise risk, compliance, and supervision across branch locations, reporting to the Complex Manager and Senior Risk Officer.

You will ensure adherence to SEC, FINRA, and internal policies, coordinate audits, and coach staff on procedures to maintain a compliant environment.

Bachelor’s degree required; Series 7/8/63/65 licenses; strong leadership and communication required to manage complex risk challenges across the region.