Strategic Risk & Compliance Leader

Morgan Stanley; Charleston (SC); On-site; USD 110,000 - 180,000; Full time

Job summary

Morgan Stanley seeks an experienced Risk Officer to oversee risk, supervisory and compliance functions at the Charleston branch. The role supports the Senior Risk Officer, ensuring a controlled environment, ethics adherence, and regulatory compliance across applicable laws and firm policies.

Candidates should have a bachelor’s degree, strong regulatory knowledge (SEC/FINRA), and prior industry experience. Dual reporting to Complex Manager and Senior Risk Officer is expected, with emphasis on

Qualifications

• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Effective written and verbal communication skills.
• Strong attention to detail.
• Ability to prioritize and resolve complex problems and escalations.

Responsibilities

• Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
• Facilitates supervisory inquiries and escalations from Senior Complex Risk Officer or Regional Risk Officer.
• Promotes business ethics and regulatory compliance practices.
• Provides coaching on policies to promote risk awareness and a compliant environment.

Skills

SEC knowledge

FINRA knowledge

Leadership

Regulatory compliance

Education

Bachelor’s degree

Industry experience

Job description

Morgan Stanley seeks an experienced Risk Officer to oversee risk, supervisory and compliance functions at the Charleston branch. The role supports the Senior Risk Officer, ensuring a controlled environment, ethics adherence, and regulatory compliance across applicable laws and firm policies.

Candidates should have a bachelor’s degree, strong regulatory knowledge (SEC/FINRA), and prior industry experience. Dual reporting to Complex Manager and Senior Risk Officer is expected, with emphasis on