Risk Officer
$120,000–$160,000 year
On-site · San Jose, California, United States
Job Summary
Oversees risk, supervisory, and compliance functions for the branch, ensuring adherence to Morgan Stanley Wealth Management policies and applicable regulations. Interfaces with the Senior Risk Officer, Legal and Compliance, and Audit teams to maintain a compliant environment, manage client risk, and support audits. Responsibilities include coaching on policies and procedures, escalation of supervisory inquiries, data-security considerations, and training on compliance policies. Requires strong leadership, communication, and analytical skills to identify issues, propose comprehensive remedies, and coordinate with stakeholders to maintain effective risk controls across the branch.
Required Qualifications
- Bachelor’s degree required or equivalent education or experience
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
- Knowledge/Skills: SEC, FINRA and Firm Compliance Policies and Procedures
- Excellent written and verbal communication
- Strong 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
- Strong judgment and discretion
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