Strategic Risk & Compliance Supervisor

711 MS Smith Barney, LLC; Florida; On-site; USD 90,000 - 130,000; Full time

Job summary

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, compliance, and supervision for the branch network. This role reports to the Complex Manager and Senior Risk Officer, ensuring ethics and regulatory adherence across the organization and coordinating audits and investigations.

The position emphasizes leadership, communication with Financial Advisors, and proactive risk management to protect clients and the firm. Strong regulatory knowledge is essential.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
• Ability to identify issues and trends to anticipate change and provide remedies.
• Ability to organize and prioritize workflow in a deadline-driven environment.
• Experience supervising or leading teams is preferred.

Responsibilities

• Supervise risk, supervisory, and compliance functions for branch locations.
• Maintain adherence to ethics, policies, and applicable laws and regulations.
• Support audits and remediate findings with Complex Manager and Senior Risk Officer.
• Monitor data security, regulatory communications, and risk indicators.
• Coordinate on-boarding and training for FA recruits and staff.
• Collaborate with Legal, Compliance, and HR on risk-related issues.

Skills

Regulatory knowledge

Written and verbal communication

Attention to detail

Problem solving

Leadership/supervisory experience

Workflow prioritization

Communication with Financial Advisors

Judgment and discretion

Strong work ethic

Education

Bachelor’s degree or equivalent

Job description

Morgan Stanley Wealth Management seeks a Risk Officer to oversee risk, compliance, and supervision for the branch network. This role reports to the Complex Manager and Senior Risk Officer, ensuring ethics and regulatory adherence across the organization and coordinating audits and investigations.

The position emphasizes leadership, communication with Financial Advisors, and proactive risk management to protect clients and the firm. Strong regulatory knowledge is essential.