Wealth Risk & Compliance Lead

711 MS Smith Barney, LLC; New York (NY); On-site; USD 120,000 - 160,000; Full time

Job summary

Morgan Stanley Wealth Management is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer.

The role emphasizes adherence to SEC/FINRA policies, data security, and effective risk management with oversight of audits and onboarding of Financial Advisors. Base pay is positioned within a strong compensation package in the New York area.

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) licenses.
• Other licenses as required for role or by management.

Responsibilities

• Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s).
• Facilitates supervisory inquiries or escalations from Senior Risk Officer and Regional Risk Officer.
• Monitors and implements procedures to manage all facets of risk, including data security and regulatory compliance.
• Supports audits and ensures findings are remediated and communicated.
• Assists in onboarding FA recruits and training on compliance policies and procedures.

Skills

SEC/FINRA knowledge

Written & verbal communication

Attention to detail

Problem prioritization

Issue and trend analysis

Leadership experience

Workflow organization

Client interaction

Judgment and discretion

Strong work ethic

Education

Bachelor’s degree or equivalent

Previous industry experience

Job description

Morgan Stanley Wealth Management is seeking a Risk Officer to oversee risk, supervisory, and compliance functions across branch locations, reporting to the Senior Risk Officer.

The role emphasizes adherence to SEC/FINRA policies, data security, and effective risk management with oversight of audits and onboarding of Financial Advisors. Base pay is positioned within a strong compensation package in the New York area.