Risk & Compliance Leader — Regulatory Oversight

Morgan Stanley; Melville (NY); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance and supervision for branch locations, reporting to the Senior Risk Officer. The role emphasizes ethics, policy adherence and timely approvals within Wealth Management.

You will coach staff, support audits, and monitor data security while maintaining strong lines of communication with Legal and Compliance. The position is based in a Morgan Stanley branch with competitive compensation.

Qualifications

• Bachelor’s degree or equivalent education or experience.
• Active industry licenses and relevant regulatory knowledge are required.
• Strong written and verbal communication skills are essential.

Responsibilities

• Oversee risk, supervisory and compliance for branch locations.
• Escalate inquiries to Senior Risk Officer as needed.
• Promote ethics and regulatory compliance across practices.
• Coach staff on policies to maintain risk awareness and compliance.
• Ensure appropriate and timely approvals and procedures.
• Support audits and remediate findings with Market Manager.

Skills

Leadership experience

Communication skills

Attention to detail

Risk management

Education

Bachelor’s degree or equivalent

Industry experience

Tools

FINRA licenses (7/8/63/65/66)

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance and supervision for branch locations, reporting to the Senior Risk Officer. The role emphasizes ethics, policy adherence and timely approvals within Wealth Management.

You will coach staff, support audits, and monitor data security while maintaining strong lines of communication with Legal and Compliance. The position is based in a Morgan Stanley branch with competitive compensation.