Risk Officer

About the Role

The Risk Officer serves as a critical guardian of Morgan Stanley Wealth Management's integrity, maintaining a consistent controlled environment through strict adherence to business ethics, federal, state, and local laws, and firm policies. Working in conjunction with the Senior Risk Officer, this non-revenue sharing position is accountable for the supervisory, compliance, and risk functions of the branch location. The role acts as the primary source of intelligence regarding risk for clients and Financial Advisors, ensuring that all activities align with the firm's core values of putting clients first and doing the right thing.

Day in the Life

In this role, you will facilitate supervisory inquiries, manage data security procedures, and liaise with the Legal and Compliance Division regarding customer complaints and litigation. You will provide coaching and guidance to promote risk awareness, ensuring that approvals are handled appropriately and timely. A significant portion of your time will be dedicated to proactive client contact to determine suitability and manage risk, as well as supporting the preparation for and response to audits. You will also work closely with the Special Investigation Unit on human resources issues related to risk and compliance, and assist in the review and onboarding of new Financial Advisor recruits.

Our Culture and Values

At Morgan Stanley, we have spent 90 years raising, managing, and allocating capital for our clients in a differentiated way. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide our decisions every day. We are proud to support our employees and their families at every point along their work-life journey, offering an environment where teams are relentless collaborators and creative thinkers fueled by diverse backgrounds.

Hiring Process

Candidates for this position are expected to possess a Bachelor's degree, previous industry experience, and active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses. The selection process focuses on identifying individuals with strong leadership capabilities, effective communication skills, and the ability to prioritize complex problems in a deadline-oriented environment.

Equal Opportunity Employer

Morgan Stanley is committed to building and maintaining a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity, sexual orientation, national origin, disability, veteran status, or any other characteristic protected by law. We want to be the first choice for prospective employees from all talent pools.