Strategic Risk & Compliance Officer

Morgan Stanley; Charleston (WV); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory, and compliance functions at the Charleston branch. The role reports to the Complex Manager and Senior Risk Officer and participates in maintaining a controlled environment through ethical practices and regulatory adherence.

The position emphasizes coaching on policies, timely approvals, and proactive client risk assessment while coordinating with Legal and Compliance on issues and audits.

Qualifications

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

Responsibilities

• Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
• Facilitates any supervisory inquiry or process that requires escalation from the Senior Complex Risk Officer and/or the Regional Risk Officer.
• Focuses on business ethics and regulatory and compliance practices.
• Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment.
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely.

Skills

Regulatory knowledge

Leadership experience

Risk management

Communication skills

Attention to detail

Supervisory experience

Client risk assessment

Education

Bachelor's degree or equivalent

Experience in financial services

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory, and compliance functions at the Charleston branch. The role reports to the Complex Manager and Senior Risk Officer and participates in maintaining a controlled environment through ethical practices and regulatory adherence.

The position emphasizes coaching on policies, timely approvals, and proactive client risk assessment while coordinating with Legal and Compliance on issues and audits.