Senior Risk & Compliance Lead

Morgan Stanley; Los Angeles (CA); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee the risk, compliance, and supervisory functions for its California branch network. The role supports the Senior Risk Officer, ensuring a controlled environment and adherence to applicable laws and firm policies.

The position demands strong regulatory knowledge, leadership, and effective communication to manage client risk and respond to audits. It is an on-site, full-time role with a focus on safeguarding fiduciary duties and operational

Qualifications

• Bachelor’s degree or equivalent education/experience.
• Active Series 7, 8 and 63/65 or 66 licenses.
• Knowledge of SEC and FINRA policies and procedures.

Responsibilities

• Own surveillance, supervision, and compliance for branch locations.
• Escalate issues to Senior Risk Officer and Regional Risk Officer as needed.
• Promote risk awareness and ensure adherence to policies and procedures.
• Coordinate audits and remediate findings with relevant teams.
• Monitor data security and client risk, maintaining proper controls.

Skills

Regulatory knowledge

Leadership

Supervisory experience

Communication skills

Risk assessment

Education

Bachelor’s degree or equivalent education/experience

Series 7/8 and 63/65 or 66 licenses

Job description

Morgan Stanley is seeking a Risk Officer to oversee the risk, compliance, and supervisory functions for its California branch network. The role supports the Senior Risk Officer, ensuring a controlled environment and adherence to applicable laws and firm policies.

The position demands strong regulatory knowledge, leadership, and effective communication to manage client risk and respond to audits. It is an on-site, full-time role with a focus on safeguarding fiduciary duties and operational