Skills
Risk Management
Compliance Oversight
Supervisory Surveillance
About the Role
As a Risk Officer, you’ll help maintain a consistent, controlled environment by supporting business ethics and ensuring adherence to applicable federal, state, and local laws, as well as Morgan Stanley Wealth Management policies and other regulatory requirements. You’ll partner closely with the Senior Risk Officer and keep them informed of material issues.
Responsibilities
- Oversee risk, supervisory, and compliance functions for assigned branch location(s)
- Coordinate and facilitate supervisory inquiries and processes, including escalations to the Senior Risk Officer and/or Regional Risk Officer
- Support ongoing risk supervision with a strong focus on business ethics and regulatory compliance
- Contribute to a control environment that aligns with internal standards and external regulations
Requirements
- Experience supporting supervisory, compliance, or risk oversight activities
- Strong understanding of regulatory expectations and compliance best practices
- Ability to communicate clearly and escalate significant matters in a timely manner
- Proven attention to detail and commitment to ethical conduct
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