Strategic Risk & Compliance Officer

Morgan-Stanley; Farmington Hills (MI); On-site; USD 110,000 - 160,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations. The role partners with the Senior Risk Officer to maintain a compliant environment and ensure timely handling of approvals and inquiries.

The candidate should bring a Bachelor's degree, active securities licenses, and strong leadership and communication skills to drive risk awareness and ethical practices throughout the Wealth Management organization.

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.
• Excellent written and verbal communication skills.
• Evidence of strong leadership capabilities or previous supervisory experience.

Responsibilities

• Surveillance and supervision for risk, supervisory, and compliance functions at branch locations.
• Facilitates audits and remediates findings in collaboration with the Complex Manager and Senior Risk Officer.
• Monitors data security and regulatory adherence across Wealth Management policies.
• Provides coaching on policies and procedures to promote risk awareness and compliant environment.
• Leads in training on compliance policies and procedures with Senior Risk Officer.

Skills

Regulatory knowledge

Leadership experience

Communication skills

Attention to detail

Education

Bachelor's degree

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations. The role partners with the Senior Risk Officer to maintain a compliant environment and ensure timely handling of approvals and inquiries.

The candidate should bring a Bachelor's degree, active securities licenses, and strong leadership and communication skills to drive risk awareness and ethical practices throughout the Wealth Management organization.