Risk & Compliance Officer — Branch Leader

Socket.dev; Tysons (VA); On-site; USD 70,000 - 115,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. This role emphasizes ethics, regulatory adherence, and proactive risk management across the team.

You will coordinate with Legal and Compliance, support audits, and guide Financial Advisors and clients in risk-aware practices. A Bachelor’s degree and active securities licenses are required, with prior industry experience

Qualifications

• Bachelor’s degree or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.
• Other licenses as required for role or by management.

Responsibilities

• Oversee risk, supervisory, and compliance for branch locations.
• Escalate supervisory inquiries to Senior Complex Risk Officer and Regional Risk Officer.
• Promote ethics, regulatory compliance, and policy awareness throughout the team.
• Coach staff on procedures to ensure timely and appropriate approvals.
• Monitor data security and adherence to Morgan Stanley Wealth Management policies.
• Assist in audits and remediation of findings; coordinate with leadership.

Skills

SEC/FINRA policies

Communication skills

Attention to detail

Problem solving

Issue trend analysis

Leadership

Workload management

Advisor interaction

Judgment & discretion

Work ethic

Education

Bachelor's degree

Active Series 7/8 and 63/65 licenses

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. This role emphasizes ethics, regulatory adherence, and proactive risk management across the team.

You will coordinate with Legal and Compliance, support audits, and guide Financial Advisors and clients in risk-aware practices. A Bachelor’s degree and active securities licenses are required, with prior industry experience