Risk Officer

Jobtailor; Tampa (FL); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley is seeking a senior risk and compliance professional to oversee regulatory compliance, supervisory practice, and risk monitoring for Wealth Management client segments. The role includes guiding teams on policy interpretation, coordinating escalations, and supporting audits.

The candidate will promote strong ethical standards, manage multiple priorities, and partner with legal/compliance on escalations and policy updates, ensuring coverage and effective training across the

Qualifications

• Bachelor’s degree or equivalent education/experience required.
• Active Series 7/8 and 63/65/9/10 licenses.
• Strong understanding of SEC/FINRA regulations and internal policies.
• Clear, concise written and verbal communication to diverse audiences.
• Detail-oriented with ability to manage multiple priorities in a deadline-driven environment.
• Demonstrated leadership or supervisory experience; able to partner with leadership and control partners.

Responsibilities

• Own day-to-day risk, supervisory, and compliance oversight for designated client segments.
• Maintain a strong control environment and ensure adherence to laws and firm policies.
• Facilitate supervisory inquiries and escalation requests to drive timely resolution.
• Provide coaching on supervisory expectations and policy interpretation.
• Ensure supervisory approvals and oversight are executed accurately and timely.
• Support compliance examinations and internal audit activities.

Skills

Risk Management

Compliance Oversight

SEC/FINRA Regulatory Knowledge

Leadership Experience

Supervisory Procedures

Education

Bachelor’s degree or equivalent education/experience

Series 7, 8, 63, 65, 9, 10 licenses

Job description

• Own day-to-day risk, supervisory, and compliance oversight for E*TRADE Self-Directed and covered client segments, including E*TRADE Premium & Special Client (ETPS) and Emerging Wealth Solutions (EWS).
• Maintain a strong control environment by promoting ethical business practices and ensuring adherence to applicable laws, regulations, and firm policies and procedures.
• Manage and facilitate supervisory inquiries and escalation requests from ETPS & EWS by partnering with the Senior Risk Officer (SRO), Associate/Regional Risk Officer (ARRO/RRO), and business management to drive timely resolution.
• Provide coaching and guidance to Relationship Managers, Team Leads, and Managers on supervisory expectations, policy interpretation, and procedural requirements to strengthen risk awareness and compliance culture.
• Ensure supervisory approvals and oversight case escalations are executed accurately and within required timeframes, validating that supervisory actions, documentation, and followup meet policy standards.
• Support compliance examinations and internal audit activities, including readiness planning, evidence collection, and timely response coordination.
• Oversee ongoing risk monitoring and control execution across key risk areas (including operational risk, conduct risk, and data/security-related risk) and implement enhancements as needed.
• Drive consistent communication of Morgan Stanley Wealth Management policies and regulatory expectations to service and supervisory teams, ensuring updates are understood and operationalized.
• Partner with Legal and Compliance on escalations, coordinating communications, documentation, and response support as appropriate.
• Ensure continuous and appropriate supervisory coverage, working with Management, Site Leaders, and the Senior Risk Officer to maintain coverage models and back-up plans.
• Oversee adherence to the E*TRADE Self-Directed Compliance and Supervisory Manual and support implementation of new policies/standards to ensure EWS and ETPS processes remain current and effective.
• Monitor people risk indicators (e.g., training, conduct trends, policy adherence), escalating concerns and partnering with leadership to ensure appropriate corrective action.
• Co-facilitate compliance and supervisory training, in partnership with the Senior Risk Officer, to ensure colleagues understand and apply Wealth Management compliance policies and procedures.
• Support onboarding risk controls for new hires, including Employee Investing/Activities Compliance (OBI/OBA approvals, private investment reviews, Monthly Employee Dashboard checks, and early-supervision routines).
• Conduct risk-based oversight reviews of service center activities—referrals, line-of-credit monitoring for regulatory compliance, account restrictions, disbursements and credits, trade/crypto supervision, and other control reviews as needed.

Requirements

• Bachelor’s degree required or equivalent education or experience
• Previous industry experience
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
• Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures.
• Clear, concise written and verbal communicator able to deliver guidance, training, and escalation updates to varied audiences.
• Detail-oriented with strong organizational skills; able to manage multiple priorities accurately in a deadline-driven environment.
• Applies structured analysis to identify issues/trends and drive timely, well-documented resolution and remediation, including escalation when needed.
• Demonstrated leadership and/or supervisory experience; able to partner effectively with business leadership and control partners.
• Exercises strong judgment and discretion in all business risk matters, including sensitive supervisory and conduct-related topics.

Core Competencies

Demonstrates expertise in risk management, compliance oversight, and supervisory practices within the financial services industry, ensuring adherence to SEC/FINRA regulations and internal policies. Capable of delivering effective training and guidance while managing multiple priorities in a fast-paced environment.

Highest-signal resume keywords

• Risk Management
• Compliance Oversight
• SEC/FINRA Regulatory Knowledge
• Leadership Experience
• Supervisory Procedures

ATS Optimization Keywords

Hard Skills

• Risk Monitoring
• Operational Risk Management
• Conduct Risk Management
• Data Security Risk Management
• Policy Implementation
• Supervisory Approvals
• Escalation Management
• Compliance Examination Support
• Training Facilitation
• Structured Analysis

Soft Skills

• Clear Communication
• Detail-Oriented
• Organizational Skills
• Judgment and Discretion
• Coaching and Guidance

Certifications & Qualifications

• Series 7
• Series 8
• Series 63
• Series 65
• Series 9
• Series 10

Industry Keywords

• E*TRADE
• Wealth Management
• Compliance Policies
• Supervisory Manual
• Risk Awareness
• Conduct Trends
• Employee Investing Compliance
• Regulatory Compliance
• Audit Activities
• Control Reviews