Sr. Risk Officer

Surveillance and Supervision Primary responsibility for all risk, supervisory, and compliance functions for the Market Communicates and facilitates any supervisory inquiry or process that requires escalation from the Market to the Regional Risk Officer Focuses on business ethics and regulatory and compliance practices Provides the coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the Market Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely Manages the Market Risk Officers within the Market to ensure consistent regulatory and compliance practices Ensures procedures are in place for self-audits. Monitors and implements procedures to manage all facets of risk, including data security, across the Market Liaises with the Legal and Compliance Division with customer complaints and litigation Together with the Market Executive and Market Risk Officers, ensures appropriate supervisory coverage is maintained at all times across the Market as required by Firm policy. Oversees all responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the market has procedures in place. Is responsible for the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated Works with Market Executive and Market Risk Officers to monitor people risk, and ensures appropriate action is taken Responsible for proactive client contact within the Market in determining suitability and managing risk Active involvement with the region regarding matters presented to the Credit Committee Primary source for intelligence on risk in regard to clients and FAs Active involvement with margin and credit decisions Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance Assists in the review and on boarding of FA recruits Bachelor's degree required or equivalent education or experience Previous industry experience Active Series 3, 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 Ability to prioritize and resolve complex problems and escalate as necessary Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies Evidence of strong leadership capabilities or previous supervisory experience Ability to organize and prioritize workflow and assignments in a deadline oriented environment Ability to interact with Financial Advisors and clients Excellent judgment and the ability to be discreet in all matters Strong work ethic Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser. Expected base pay rates for the role will be between $170,000 - $215,000 per year at the commencement of employment. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.