Senior Institutional Risk & Compliance Leader

Morgan & Morgan Transportation Inc; Tempe (AZ); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

Competitive benefits

Career development opportunities

Job summary

Morgan Stanley is seeking a Senior Institutional Risk Officer in the United States, Tempe area, to lead risk, compliance, and supervisory functions within the Institutional Infrastructure Solutions Market.

The role requires strong leadership, regulatory knowledge, and the ability to coordinate audits and escalations with the Market Executive and Legal/Compliance teams. Competitive compensation and comprehensive benefits are offered.

Qualifications

• Bachelor’s degree or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10) and 63, 65 (or 66).
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Strong written and verbal communication abilities.
• Leadership experience in risk, compliance or supervisory roles.

Responsibilities

• Oversee risk, supervisory, and compliance functions for the Market.
• Communicate with Market Executive on significant matters and escalation.
• Lead Institutional Risk Officers to ensure consistent practices across the Market.
• Coordinate audits, self-audits, and regulatory inquiries as needed.
• Collaborate with Legal and Compliance on issues and remediation actions.
• Develop and deliver training on compliance policies for staff and associates.

Skills

Compliance policies

Communication skills

Leadership

Attention to detail

Problem solving

Stakeholder management

Regulatory awareness

Education

Bachelor's degree or equivalent

Series 7, 8, 63, 65/66

Job description

Morgan Stanley is seeking a Senior Institutional Risk Officer in the United States, Tempe area, to lead risk, compliance, and supervisory functions within the Institutional Infrastructure Solutions Market.

The role requires strong leadership, regulatory knowledge, and the ability to coordinate audits and escalations with the Market Executive and Legal/Compliance teams. Competitive compensation and comprehensive benefits are offered.