Risk & Compliance Supervisor

PowerToFly; Nashville (TN); On-site; USD 110,000 - 140,000; Full time

Job summary

Morgan Stanley Wealth Management is seeking a Risk Officer to supervise risk, compliance, and related controls across branch locations. The role reports to the Complex Manager and the Senior Risk Officer, ensuring ethical practices and adherence to applicable laws and firm policies.

Responsibilities include monitoring risk, coordinating with Legal and Compliance, facilitating audits, and guiding staff in policy compliance.

Qualifications

• Bachelor’s degree or equivalent required.
• Active industry licenses (Series 7, 8/9/10, 63, 65/66) preferred.
• Strong knowledge of SEC, FINRA policies and firm procedures.
• Excellent written and verbal communication; high attention to detail.

Responsibilities

• Own the risk, supervisory, and compliance function for branch locations.
• Escalate inquiries from Senior Complex Risk Officer as needed.
• Promote ethics and regulatory compliance throughout the branch.
• Coach staff on policies to ensure risk awareness and conformance.
• Oversee audits with timely remediation of findings.
• Maintain coverage with Complex Manager and Senior Risk Officer.

Skills

Regulatory compliance

Communication

Detail orientation

Problem solving

Education

Bachelor’s degree or equivalent

Industry experience

Active FINRA licenses (7/8/9/10, 63/65/66)

Other licenses as required

Job description

Morgan Stanley Wealth Management is seeking a Risk Officer to supervise risk, compliance, and related controls across branch locations. The role reports to the Complex Manager and the Senior Risk Officer, ensuring ethical practices and adherence to applicable laws and firm policies.

Responsibilities include monitoring risk, coordinating with Legal and Compliance, facilitating audits, and guiding staff in policy compliance.