Risk Officer
$120,000–$170,000 year
On-site · Norwell, Massachusetts, United States
Job Summary
Risk Officer role overseeing risk, supervisory, and compliance functions for Morgan Stanley Wealth Management at the branch level; works with Senior Risk Officer to maintain compliant environment, ensures procedures for approvals and audits, supports regulatory policy communication, oversees risk management and client risk assessments, collaborates with HR and Special Investigation Unit on risk-related matters, and contributes to onboarding of financial advisors with emphasis on compliance and regulatory adherence.
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 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
- Leadership capabilities or supervisory experience
- Ability to interface with Financial Advisors and clients
- Strong judgment and discretion
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