Morgan Stanley Is Hiring A Risk Officer – Bilingual English/Spanish or Portuguese

📋 Job Opportunity: Risk Officer at Morgan Stanley Wealth Management

Join Morgan Stanley as a Risk Officer where you will oversee supervisory, compliance, and risk functions to maintain a secure and ethical environment in our wealth management operations.

🔥 Position Summary

The Risk Officer is responsible for supervising risk management activities, ensuring compliance with laws and policies, and supporting a controlled environment in collaboration with the Senior Risk Officer. This non-revenue sharing role reports directly to the Senior Risk Officer and plays a vital part in adherence to ethical standards and regulatory requirements.

🛡️ Duties & Responsibilities

🔍 Surveillance and Supervision

• Primary oversight for risk, supervisory, and compliance functions at assigned branch(s).
• Facilitate escalations for supervisory inquiries with guidance from Senior or Regional Risk Officers.
• Promote business ethics and regulatory compliance through coaching and policy guidance.
• Ensure proper approval procedures are in place and executed timely.

⚖️ Risk Management, Compliance & Legal

• Implement procedures to manage all risk aspects, including data security.
• Communicate policies regularly and clearly within Morgan Stanley Wealth Management.
• Liaise with Legal and Compliance teams on customer complaints and litigation matters.
• Maintain supervisory coverage with Complex Managers and Senior Risk Officers.
• Oversee adherence to the Branch Supervisory Manual and new policies.
• Support audit readiness and ensure timely remediation of findings.
• Monitor people risk in collaboration with management, taking appropriate action when needed.
• Proactively contact clients to assess suitability and manage risks.
• Contribute to regional Credit Committee discussions and risk intelligence.

📝 Administrative

• Collaborate with the Special Investigation Unit on HR issues related to risk and compliance.
• Facilitate training on compliance policies and procedures alongside Senior Risk Officers.
• Assist in onboarding and reviewing Financial Advisor recruits.

🎓 Education & Experience

• Bachelor's degree or equivalent experience required.
• Prior industry experience preferred.
• Active Series 7, 8 (or 9 and 10), 63, 65 (or 66) licenses are required.
• Additional licenses may be needed based on role or management directives.

🧠 Knowledge & Skills

• Comprehensive understanding of SEC, FINRA, and firm compliance policies.
• Excellent communication skills—both written and verbal.
• Detail-oriented with strong problem-solving skills.
• Ability to identify trends, escalate issues, and develop solutions.
• Proven leadership and supervisory experience.
• Effective organizational skills in a fast-paced environment.
• Strong interpersonal skills for interaction with FAs and clients.
• Exercising sound judgment with discretion in sensitive matters.
• Dedicated work ethic and integrity.

📈 Reporting To

Senior Risk Officer

🌎 Morgan Stanley’s Commitment to Diversity & Excellence

At Morgan Stanley, we strive to build a diverse workforce that upholds the highest standards of integrity and excellence. We actively recruit talented individuals from all backgrounds and are dedicated to equal opportunity employment—free from discrimination or harassment based on race, gender, age, disability, veteran status, and more. We cultivate a culture of inclusion, mentorship, and professional growth, supported by competitive benefits and perks.

🤝 What You Can Expect

Enjoy a legacy of over 85 years of service, guided by core values such as putting clients first, integrity, innovation, diversity, inclusion, and social responsibility. Be part of a global team of over 80,000 employees across 1,200 offices in 42 countries—committed to delivering value, fostering collaboration, and respecting diverse perspectives. Learn more about our diversity initiatives at morganstanley.com/diversity.

🌟 Join Morgan Stanley Today

We are passionate about customer focus, excellence, and creating an inclusive environment where everyone can thrive. Become part of a team that values integrity, innovation, and diversity, and help us shape the future of wealth management.