Risk Officer

Morgan Stanley

Risk Officer overseeing compliance and supervisory activities for E*TRADE Premium & Specialty Clients. Supporting a consistent control environment and driving ethical business practices.

Posted 7/24/2026full-timeTampa • Florida • 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in risk management, compliance oversight, and supervisory practices within the financial services industry, ensuring adherence to SEC/FINRA regulations and internal policies. Capable of delivering effective training and guidance while managing multiple priorities in a fast-paced environment.

Highest-signal resume keywords

Risk ManagementCompliance OversightSEC/FINRA Regulatory KnowledgeLeadership ExperienceSupervisory Procedures

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk MonitoringOperational Risk ManagementConduct Risk ManagementData Security Risk ManagementPolicy ImplementationSupervisory ApprovalsEscalation ManagementCompliance Examination SupportTraining FacilitationStructured Analysis

Soft Skills

Clear CommunicationDetail-OrientedOrganizational SkillsJudgment and DiscretionCoaching and Guidance

Certifications & Qualifications

Series 7Series 8Series 63Series 65Series 9Series 10

Industry Keywords

E*TRADEWealth ManagementCompliance PoliciesSupervisory ManualRisk AwarenessConduct TrendsEmployee Investing ComplianceRegulatory ComplianceAudit ActivitiesControl Reviews

About the role

Key responsibilities & impact

Own day-to-day risk, supervisory, and compliance oversight for E*TRADE Self‑Directed and covered client segments, including E*TRADE Premium & Special Client (ETPS) and Emerging Wealth Solutions (EWS).
Maintain a strong control environment by promoting ethical business practices and ensuring adherence to applicable laws, regulations, and firm policies and procedures.
Manage and facilitate supervisory inquiries and escalation requests from ETPS & EWS by partnering with the Senior Risk Officer (SRO), Associate/Regional Risk Officer (ARRO/RRO), and business management to drive timely resolution.
Provide coaching and guidance to Relationship Managers, Team Leads, and Managers on supervisory expectations, policy interpretation, and procedural requirements to strengthen risk awareness and compliance culture.
Ensure supervisory approvals and oversight case escalations are executed accurately and within required timeframes, validating that supervisory actions, documentation, and follow-up meet policy standards.
Support compliance examinations and internal audit activities, including readiness planning, evidence collection, and timely response coordination.
Oversee ongoing risk monitoring and control execution across key risk areas (including operational risk, conduct risk, and data/security-related risk) and implement enhancements as needed.
Drive consistent communication of Morgan Stanley Wealth Management policies and regulatory expectations to service and supervisory teams, ensuring updates are understood and operationalized.
Partner with Legal and Compliance on escalations, coordinating communications, documentation, and response support as appropriate.
Ensure continuous and appropriate supervisory coverage, working with Management, Site Leaders, and the Senior Risk Officer to maintain coverage models and back-up plans.
Oversee adherence to the E*TRADE Self‑Directed Compliance and Supervisory Manual and support implementation of new policies/standards to ensure EWS and ETPS processes remain current and effective.
Monitor “people risk” indicators (e.g., training, conduct trends, policy adherence), escalating concerns and partnering with leadership to ensure appropriate corrective action.
Co-facilitate compliance and supervisory training, in partnership with the Senior Risk Officer, to ensure colleagues understand and apply Wealth Management compliance policies and procedures.
Support onboarding risk controls for new hires, including Employee Investing/Activities Compliance (OBI/OBA approvals, private investment reviews, Monthly Employee Dashboard checks, and early-supervision routines).
Conduct risk-based oversight reviews of service center activities—including referrals, line-of-credit monitoring for regulatory compliance, account restrictions, disbursements and credits, trade/crypto supervision, and other control reviews as needed.

Requirements

What you’ll need

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)
Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures.
Clear, concise written and verbal communicator able to deliver guidance, training, and escalation updates to varied audiences.
Detail-oriented with strong organizational skills; able to manage multiple priorities accurately in a deadline-driven environment.
Applies structured analysis to identify issues/trends and drive timely, well-documented resolution and remediation, including escalation when needed.
Demonstrated leadership and/or supervisory experience; able to partner effectively with business leadership and control partners.
Exercises strong judgment and discretion in all business risk matters, including sensitive supervisory and conduct-related topics.

Benefits

Comp & perks

Health insurance
401(k) matching
Paid time off
Professional development opportunities