Morgan Stanley

National Risk Officer

Morgan Stanley

full-time

Posted on:

Location Type: Office

Location: Atlanta • North Carolina • 🇺🇸 United States

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Job Level

Mid-LevelSenior

About the role

  • Primarily responsible for all risk, supervisory, and compliance functions for respective branch location(s)
  • Reviews and responds to a variety of supervisory alerts in a timely and sufficient manner
  • Support increased Risk Officer workload due to remediation requirements, new FA/FAA recruits onboarding, etc.
  • Fill coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.)
  • Assist Markets during periods of high-volume supervisory alerts
  • Manages and responds to senior or vulnerable adult, financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley’s senior or vulnerable clients
  • Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO)
  • Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
  • Interview clients where necessary, and collaborates with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts
  • Liaises with the Legal and Compliance Division to respond to customer complaints and litigation
  • Supports the preparation for and response to all branch exams and internal audits, and ensures that any audit findings are appropriately responded to and remediated
  • National Risk Officers may travel to different Markets within the Region to provide support, as needed

Requirements

  • Bachelor’s degree or equivalent work experience
  • Previous industry experience
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
  • Other licenses as required for role or by management
  • Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge
  • Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred
  • Effective written and verbal communication skills
  • Ability to prioritize and resolve complex problems and escalate as necessary
  • Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
  • Ability to organize and prioritize tasks and assignments in a deadline-oriented environment
  • Ability to interact with Financial Advisors and clients
  • Excellent judgment and the ability to be discreet in all matters
  • Strong quantitative and analytical skills
  • High motivation and energy with ability to develop strong working relationships
  • A calm demeanor and ability to work on multiple tasks at one time
  • Self-starter with a strong attention to detail
  • Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
  • Excellent problem-solving and business judgment
  • Strong organizational, planning and time management skills
  • Ability and willingness to voice ideas, in addition to following instructions
  • Proficiency in MS Office, PowerPoint, Excel
Benefits
  • Health insurance
  • 401(k) matching
  • Flexible work hours
  • Paid time off
  • Professional development opportunities

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
risk managementcompliance functionssupervisory alertsfinancial exploitationaudit responseSEC regulationsFINRA rulesinvestment knowledgeproduct knowledgeanalytical skills
Soft skills
effective communicationproblem-solvingorganizational skillsattention to detailrelationship buildingjudgmentdiscretiontime managementprioritizationself-starter
Certifications
Series 7Series 8Series 9Series 10Series 63Series 65Series 66