Risk Officer
Morgan Stanley
full-time
Posted on:
Location Type: Office
Location: Albuquerque • New Mexico • 🇺🇸 United States
Visit company websiteJob Level
Mid-LevelSenior
About the role
- Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
- Facilitates any supervisory inquiry or process requiring escalation
- Provides coaching and guidance on policies and procedures to promote risk awareness
- Monitors and implements procedures to manage facets of risk, including data security
- Ensures appropriate supervisory coverage is maintained at all times
- Supports preparation for and response to audits
- Responsible for proactive client contact in determining suitability and managing risk
- Acts as primary source for intelligence on risk regarding clients
Requirements
- Bachelor’s degree required or equivalent education or experience
- Previous industry experience
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses or as required for role
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
- Ability to identify issues and trends and provide comprehensive solutions
- Strong leadership capabilities or previous supervisory experience
- Ability to interact with Financial Advisors and clients
- Excellent judgment and discretion in all matters
- Ability to organize and prioritize workflow and assignments in a deadline oriented environment
Benefits
- Comprehensive employee benefits and perks
- Opportunity for professional development
- Support for families at every point of the work-life journey
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
risk managementdata securitycompliance proceduresaudit preparationclient suitability assessment
Soft skills
effective communicationattention to detailproblem identificationleadershipjudgmentdiscretionorganizational skillsprioritization
Certifications
Bachelor's degreeSeries 7 licenseSeries 8 licenseSeries 9 licenseSeries 10 licenseSeries 63 licenseSeries 65 licenseSeries 66 license