Senior Institutional Risk & Compliance Leader

711 MS Smith Barney, LLC

Miami (FL)

On-site

USD 120,000 - 170,000

Full time

3 days ago

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Job summary

Morgan Stanley seeks a Senior Institutional Risk Officer for the Institutional Infrastructure Solutions Market in the United States. This role oversees risk, supervisory, and compliance functions, promoting a strong control environment and adherence to laws, policies, and regulations across the Market.

You will coordinate with Market leadership and other Institutional Risk Officers to ensure coverage, escalate significant matters, and drive training and consistent risk practices across teams.

Qualifications

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

Responsibilities

Primary responsibility for all risk, supervisory, and compliance functions for the Market.
Escalates supervisory inquiries to Head of Institutional Risk Officers.
Promotes risk awareness and compliant environment within the Market.
Provides coaching on policies and procedures to promote compliance.
Ensures proper approval procedures are in place and timely.
Manages Institutional Risk Officers to ensure consistent supervisory practices.
Oversees self-audits and remediation of findings.
Liaises with Legal and Compliance on complaints and litigation.

Skills

Leadership capabilities

Strong communication

Regulatory and compliance

Attention to detail

Problem solving

Interpersonal with FAs

Education

Bachelor’s degree

Job description

You will coordinate with Market leadership and other Institutional Risk Officers to ensure coverage, escalate significant matters, and drive training and consistent risk practices across teams.

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