Risk & Compliance Supervisor, Wealth Management

Morgan Stanley; Memphis (TN); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. The role supports the Senior Risk Officer and reports to both the Complex Manager and Senior Risk Officer, ensuring a controlled environment and adherence to policies and laws.

Responsibilities include overseeing data security, regulatory communications, audits, and risk assessments, while coaching staff on policy adherence and ethical standards to protect clients and the firm.

Qualifications

• Bachelor’s degree or equivalent education/experience required.
• Active securities licenses or ability to obtain as required.
• Experience in risk, compliance and supervisory roles.

Responsibilities

• Own risk, supervisory, and compliance function for branch locations.
• Escalate supervisory inquiries to Senior Complex Risk Officer / Regional Risk Officer.
• Promote business ethics and regulatory compliance practices.
• Coach staff on policies to foster risk awareness and a compliant environment.
• Support audits and remediation of audit findings.
• Maintain coverage with Complex Manager and Senior Risk Officer.

Skills

SEC/FINRA knowledge

Communication skills

Attention to detail

Leadership

Time management

Client interaction

Judgment

Discretion

Education

Bachelor’s degree

Tools

Financial licenses (Series 7/8/9/10, 63/65/66)

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, compliance, and supervisory functions across branch locations. The role supports the Senior Risk Officer and reports to both the Complex Manager and Senior Risk Officer, ensuring a controlled environment and adherence to policies and laws.

Responsibilities include overseeing data security, regulatory communications, audits, and risk assessments, while coaching staff on policy adherence and ethical standards to protect clients and the firm.