Senior Risk Analyst
Morgan Stanley
full-time
Posted on:
Location Type: Office
Location: Columbus • Ohio • Utah • United States
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Tech Stack
About the role
- Exercise authoritative supervisory oversight of account opening and maintenance processes under SRU umbrella
- Review daily supervisory reports
- Provide clear policy and procedure guidance
- Resolve complex risk-related issues and approval errors
- Support or provide backup coverage to other risk analysts as needed
- Collaborate with compliance, legal, and risk teams
- Keep current on SEC/FINRA and Compliance policies
- Identify risk trends, issues, or patterns
- Conduct periodic internal risk review self-assessments
- Provide exceptional customer service in interactions
- Identify and provide risk-based training to SRU employees
Requirements
- Series 7, 63 or 66, 9 and 10 or equivalent required
- 5-10 years industry experience
- Confidence and decision-making skills that provide ability to make calls in ambiguous situations
- Knowledge of Morgan Stanley and Regulatory Client Onboarding policies preferred
- Previous risk management or related supervisory experience preferred
- Field (branch) experience a plus
- Basic knowledge of Morgan Stanley and ETRADE systems preferred
- Strong technical skills preferred, including proficiency in Microsoft Excel and the ability to utilize and incorporate AI technologies
- Familiarity with data visualization software such as Tableau is also desired
Benefits
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Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
risk managementsupervisory oversightpolicy guidancerisk assessmentcustomer servicedata visualizationMicrosoft ExcelAI technologiesregulatory complianceinternal risk review
Soft Skills
decision-makingconfidencecollaborationproblem-solvingcommunicationtrainingleadershiporganizational skillsinterpersonal skillsadaptability
Certifications
Series 7Series 63Series 66Series 9Series 10