Risk Officer
$120,000–$170,000 year
On-site · Norwell, Massachusetts, United States
Job Summary
The Risk Officer role provides supervisory, compliance, and risk oversight for branch operations, ensuring adherence to Federal, State, and Local laws, Morgan Stanley Wealth Management policies, and other regulations. Responsibilities include facilitating escalations, coaching on policies, maintaining risk controls, monitoring data security, assisting audits, coordinating with the Legal and Compliance Division, and ensuring appropriate supervisory coverage with the Senior Risk Officer. The position also involves proactive client contact to determine suitability and manage risk, leadership of risk initiatives, onboarding of Financial Advisors, and collaboration with a Special Investigation Unit on HR-related risk issues. Required licenses and regulatory knowledge include SEC and FINRA policies; candidates should demonstrate strong communication, analytical, and leadership capabilities and the ability to prioritize and resolve complex issues.
Required Qualifications
- Bachelor’s degree required or equivalent education or experience
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
- Other licenses as required for role or by management
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