Risk Officer
$120,000–$160,000 year
On-site · San Jose, California, United States
Job Summary
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions within Morgan Stanley Wealth Management, reporting to the Senior Risk Officer. Responsibilities include supervising risk, compliance, and ethics programs for the branch, facilitating escalations, coaching on policies and procedures, ensuring proper approvals, monitoring data security, coordinating with Legal and Compliance, supporting audits and remediation, and training on compliance policies. The role requires collaboration with the Market Manager and Senior Risk Officer to maintain supervisory coverage, contribute to risk assessments, and engage with the Credit Committee as needed. Qualifications include a bachelor’s degree (or equivalent), appropriate securities licenses (e.g., Series 7, 8, 63, 65/66), knowledge of SEC/FINRA policies, strong communication and leadership skills, and the ability to prioritize workflows and interact with Financial Advisors and clients. The role reports to the Senior Risk Officer and is based in a Morgan Stanley Wealth Management branch, with compensation expected in the listed range and potential for additional incentives.
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
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Strong written and verbal communication skills
- Attention to detail
- Ability to prioritize and resolve complex problems and escalate as necessary
- Leadership capabilities or previous supervisory experience
- Ability to interact with Financial Advisors and clients
- Excellent judgment and discretion
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