Wealth Management Risk & Compliance Lead

711 MS Smith Barney, LLC; San Jose (CA); On-site; USD 120,000 - 160,000; Full time

Job summary

Morgan Stanley in California seeks a Risk Officer to oversee supervisory, compliance and risk functions in coordination with the Senior Risk Officer, ensuring a controlled environment aligned with laws and policies. The role emphasizes ethics, risk awareness, audit readiness, data security, and proactive client risk assessment.

This is a non-revenue sharing position reporting to the Senior Risk Officer, with duties including staff coaching, audits, investigations, and training to strengthen 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 of risk, compliance, and supervisory functions
• Coordinate with Senior Risk Officer to maintain a compliant environment
• Manage data security, audits, and remediation of findings
• Coach staff on policies and procedures and promote risk awareness
• Liaise with Legal and Compliance on customer issues and investigations
• Assist in onboarding of new Financial Advisors and risk reviews

Skills

SEC/FINRA knowledge

Effective communication

Attention to detail

Problem solving

Leadership experience

Organizational skills

Client interaction

Judgment and discretion

Work ethic

Education

Bachelor’s degree or equivalent

Job description

Morgan Stanley in California seeks a Risk Officer to oversee supervisory, compliance and risk functions in coordination with the Senior Risk Officer, ensuring a controlled environment aligned with laws and policies. The role emphasizes ethics, risk awareness, audit readiness, data security, and proactive client risk assessment.

This is a non-revenue sharing position reporting to the Senior Risk Officer, with duties including staff coaching, audits, investigations, and training to strengthen risk