Risk Officer
Core
Ensures adherence to business ethics, regulations, and compliance practices across branch locations while managing risk and supervising business operations.
Role type
Senior IC risk and compliance officer
Builds
A compliant and risk-controlled environment for Morgan Stanley Wealth Management branches
Domain
Financial services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, risk management, supervisory oversight, audit preparation, client suitability assessment, data security monitoring, policy implementation, stakeholder liaison, problem escalation, workflow prioritization
Preferred skills
Leadership capabilities, supervisory experience, proactive risk intelligence, discreet judgment
Technologies
N/A
Responsibilities
Monitor and implement risk management procedures including data security; Facilitate supervisory inquiries and escalate matters to Senior Risk Officer; Provide coaching on policies to promote a compliant environment; Liaise with Legal and Compliance Division regarding complaints and litigation; Support audit preparation and remediation of findings; Monitor people risk and ensure appropriate actions; Manage proactive client contact for suitability and risk; Facilitate compliance training and recruit onboarding.
Seniority
Senior, hands-on IC