Strategic Risk & Compliance Officer

Morgan Stanley; Boca Raton (FL); On-site; USD 95,000 - 150,000; Full time

Job summary

Morgan Stanley Risk Officers at the Boca Raton location oversee risk, supervisory, and compliance functions to maintain a controlled environment aligned with federal, state, and local rules. The role collaborates with the Senior Risk Officer and Complex Manager to ensure coverage, audit readiness, and adherence to Wealth Management policies.

Strong licensing and regulatory knowledge are required. The position emphasizes ethics, risk awareness, and proactive client risk management within a branch

Qualifications

• Bachelor's degree or equivalent education/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 skills.
• Evidence of leadership capabilities or supervisory experience.
• Discretion and sound judgment in confidential matters.

Responsibilities

• Oversee risk, supervisory, and compliance functions for branch location(s).
• Escalate inquiries and coordinate with Senior Complex Risk Officer and Regional Risk Officer.
• Promote ethics, regulatory compliance, and risk awareness with policies and procedures.
• Provide coaching on policies to maintain a compliant environment and timely approvals.
• Assist in audits, remediation, and risk monitoring activities.

Skills

Regulatory compliance

Attention to detail

Leadership

Communication skills

Discretion

Problem solving

Education

Bachelor's degree

Series 7/8/63/65/66 licenses

Job description

Morgan Stanley Risk Officers at the Boca Raton location oversee risk, supervisory, and compliance functions to maintain a controlled environment aligned with federal, state, and local rules. The role collaborates with the Senior Risk Officer and Complex Manager to ensure coverage, audit readiness, and adherence to Wealth Management policies.

Strong licensing and regulatory knowledge are required. The position emphasizes ethics, risk awareness, and proactive client risk management within a branch