Risk & Compliance Supervisor

Morgan Stanley; Nashville (TN); On-site; USD 110,000 - 170,000; Full time

Job summary

Morgan Stanley Risk Office: The Risk Officer supports the Senior Risk Officer in maintaining a controlled environment, aligning with ethics and applicable laws, policies, and regulations. This role reports to the Complex Manager and Senior Risk Officer and is non-revenue sharing.

Responsibilities cover surveillance, risk management, compliance, and administration, with a focus on coaching, proper procedures, and proactive client risk assessment across branches.

Qualifications

• Bachelor's degree required or equivalent education/experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Escalate supervisory inquiries from Senior Complex Risk Officer when needed.
• Promote ethical practices and regulatory compliance across the organization.
• Coach staff on policies and procedures to ensure risk awareness.
• Ensure approvals are handled properly and timely.
• Monitor risk across data security and regulatory requirements.
• Assist audits and remediate findings with leadership.

Skills

Attention to detail

Strong judgment

Leadership

Problem solving

Communication

Discretion

Client interaction

Education

Bachelor's degree

Licenses: Series 7/8 and 63/65 (or 66)

Job description

Morgan Stanley Risk Office: The Risk Officer supports the Senior Risk Officer in maintaining a controlled environment, aligning with ethics and applicable laws, policies, and regulations. This role reports to the Complex Manager and Senior Risk Officer and is non-revenue sharing.

Responsibilities cover surveillance, risk management, compliance, and administration, with a focus on coaching, proper procedures, and proactive client risk assessment across branches.