Senior Risk & Compliance Officer

Morgan Stanley; Alpharetta (GA); On-site; USD 120,000 - 180,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to support E*TRADE Premium & Specialty Client and Emerging Wealth Solutions with supervisory, compliance, and risk responsibilities. You will work with the Senior Risk Officer to uphold a strong control environment and ensure adherence to laws and firm policies.

You will coach Relationship Managers, manage escalations, support exams, and monitor risk across operational, conduct, and data/security areas, contributing to a proactive risk culture.

Qualifications

• Bachelor's degree required or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.
• Other licenses as required for role or by management.

Responsibilities

• Own day-to-day risk, supervisory, and compliance oversight for E*TRADE Self-Directed and covered client segments.
• Maintain a strong control environment by promoting ethical practices and ensuring adherence to laws, regulations, and firm policies.
• Manage supervisory inquiries and escalation requests to drive timely resolution with senior risk partners.
• Provide coaching to Relationship Managers and teams on supervisory expectations and policy interpretation.
• Ensure supervisory approvals and escalations are executed accurately and timely, with proper documentation.
• Support compliance examinations and internal audit activities, including readiness planning and evidence collection.
• Oversee ongoing risk monitoring across key areas (operational, conduct, data/security) and implement enhancements.
• Communicate regulatory expectations to service and supervisory teams and ensure operationalization.
• Partner with Legal and Compliance on escalations and communications.
• Maintain coverage models and back-up plans to ensure continuous supervisory oversight.

Skills

SEC/FINRA regulations

Leadership

Communication

Risk management

Education

Bachelor's degree

Job description

Morgan Stanley is seeking a Risk Officer to support E*TRADE Premium & Specialty Client and Emerging Wealth Solutions with supervisory, compliance, and risk responsibilities. You will work with the Senior Risk Officer to uphold a strong control environment and ensure adherence to laws and firm policies.

You will coach Relationship Managers, manage escalations, support exams, and monitor risk across operational, conduct, and data/security areas, contributing to a proactive risk culture.