Risk & Compliance Supervisor

Socket.dev; Florida; On-site; USD 90,000 - 150,000; Full time

Job summary

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, compliance and supervisory activities across the branch network. Reporting to the Complex Manager and Senior Risk Officer, the role focuses on ethics, policies, and adherence to applicable laws, with a strong emphasis on data security and regulatory readiness.

Responsibilities include supervising risk and compliance processes, coaching staff, supporting audits, and ensuring timely approvals.

Qualifications

• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Strong written and verbal communication skills.
• Proven leadership capabilities or supervisory experience.
• Ability to prioritize and resolve complex problems and elevate as necessary.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Coach staff on policies to promote risk awareness and a compliant environment.
• Support audits and remediate findings.
• Monitor data security and regulatory adherence across operations.
• Ensure timely and appropriate approvals and escalation when needed.

Skills

SEC/FINRA policies

Communication skills

Attention to detail

Problem solving

Leadership

Organization

Interpersonal with FAs

Education

Bachelor’s degree or equivalent

Job description

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, compliance and supervisory activities across the branch network. Reporting to the Complex Manager and Senior Risk Officer, the role focuses on ethics, policies, and adherence to applicable laws, with a strong emphasis on data security and regulatory readiness.

Responsibilities include supervising risk and compliance processes, coaching staff, supporting audits, and ensuring timely approvals.