Risk Officer
Morgan Stanley
full-time
Posted on:
Location Type: Office
Location: Fresno • California • 🇺🇸 United States
Visit company websiteSalary
💰 $120,000 - $160,000 per year
Job Level
Mid-LevelSenior
About the role
- Responsible for a wide variety of supervisory, compliance, and risk functions
- Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
- Facilitates any supervisory inquiry or process that requires escalation
- Focuses on business ethics and regulatory and compliance practices
- Provides coaching and guidance on policies and procedures
- Monitor and implement procedures to manage all facets of risk
- Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies
- Liaises with the Legal and Compliance Division with customer complaints and litigation
- Oversees responsibilities outlined in the Branch Supervisory Manual
- Supports in the preparation for and response to audits
- Responsible for proactive client contact in determining suitability and managing risk
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)
- Other licenses as required for role or by management
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
- Effective written and verbal communication skills
- Strong attention to detail
- Evidence of strong leadership capabilities or previous supervisory experience
Benefits
- Medical
- Prescription Drug
- Dental
- Vision
- Health Savings Account
- Dependent Day Care Savings Account
- Life Insurance
- Disability and Other Insurance Plans
- Paid Time Off (including Sick Leave, Parental Leave and Vacation)
- Holidays
- 401(k)
- Short/Long Term Disability
- Other special perks reserved for our employees
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
risk managementcompliance practicessupervisory functionsauditingbusiness ethics
Soft skills
effective communicationattention to detailleadershipcoachingguidance
Certifications
Bachelor’s degreeSeries 7Series 8Series 9Series 10Series 63Series 65Series 66