Strategic Risk & Compliance Leader

711 MS Smith Barney, LLC; West Palm Beach (FL); On-site; USD 90,000 - 150,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to lead risk, supervision, and compliance for the branch network. The role partners with the Senior Risk Officer and Complex Manager to maintain a controlled environment, ensuring adherence to federal, state, and internal policies.

The candidate will coach staff and coordinate with Legal and Compliance on investigations and audits. The position requires a Bachelor’s degree and active securities licenses (Series 7/8 and 63/65 or 66).

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Evidence of strong leadership capabilities or previous supervisory experience.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch locations.
• Promote risk awareness and compliant environment through coaching on policies.
• Ensure timely and proper approvals and escalation when needed.
• Monitor data security and coordinate with Legal and Compliance for complaints and litigation.
• Assist audits and remediate findings in collaboration with Senior Risk Officer and Complex Manager.
• Interact with Financial Advisors and clients to manage risk and determine suitability.

Skills

Leadership

Regulatory knowledge

Communication

Risk assessment

Problem solving

Supervisory experience

Education

Bachelor’s degree or equivalent

Job description

Morgan Stanley is seeking a Risk Officer to lead risk, supervision, and compliance for the branch network. The role partners with the Senior Risk Officer and Complex Manager to maintain a controlled environment, ensuring adherence to federal, state, and internal policies.

The candidate will coach staff and coordinate with Legal and Compliance on investigations and audits. The position requires a Bachelor’s degree and active securities licenses (Series 7/8 and 63/65 or 66).