Strategic Risk & Compliance Supervisor (Branch)

Morgan Stanley; West Palm Beach (FL); On-site; USD 120,000 - 160,000; Full time

Job summary

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory and compliance functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. The role emphasizes ethics, adherence to laws, and proactive risk management across operations and data security.

Responsibilities include coaching staff on policies, supporting audits, and maintaining proper supervisory coverage while engaging with Financial Advisors and clients to determine suitability and mitigate risk.

Qualifications

• Bachelor’s degree required or equivalent education or experience.
• Previous industry experience.
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
• Other licenses as required for role or by management.

Responsibilities

• Surveillance and Supervision: Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
• Risk Management/Compliance/Legal: Monitors and implements procedures to manage all facets of risk, including data security.
• Administrative: Works closely with Special Investigation Unit on HR issues related to risk and compliance.

Skills

Compliance knowledge

Verbal/written comms

Attention to detail

Problem solving

Leadership

Workflow prioritization

Client interaction

Discretion

Work ethic

Education

Bachelor’s degree or equivalent education or experience

Previous industry experience

Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses

Other licenses as required for role or by management

Job description

Morgan Stanley is seeking a Risk Officer to oversee risk, supervisory and compliance functions at the branch level, reporting to the Complex Manager and Senior Risk Officer. The role emphasizes ethics, adherence to laws, and proactive risk management across operations and data security.

Responsibilities include coaching staff on policies, supporting audits, and maintaining proper supervisory coverage while engaging with Financial Advisors and clients to determine suitability and mitigate risk.