Sr. Risk Officer

Senior Risk Officer

The Senior Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions related to the Complex. In conjunction with the Complex Manager and other Risk Officers within the Complex, the Senior Risk Officer has accountability in the Complex for maintaining a consistent control environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Senior Risk Officer keeps the Complex Manager informed of significant matters within the complex and must determine when the Complex Manager, other Branch Managers within the Complex and / or Regional Risk Officer should be directly involved. The Senior Risk Officer role is a non-revenue sharing position that has dual straight line reporting to the Complex manager and Regional Risk Officer.

Duties and Responsibilities

Surveillance and Supervision

• Primary responsibility for all risk, supervisory, and compliance functions for the Complex
• Communicates and facilitates any supervisory inquiry or process that requires escalation from the Complex 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 Complex
• Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely
• Manages the Complex Risk Officers within the Complex to ensure consistent regulatory and compliance practices
• Ensures procedures are in place for self-audits.

Risk Management / Compliance / Legal

Administrative

Education and / or Experience

Knowledge / Skills

Reports to

Direct reports

What You Can Expect From Morgan Stanley :

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. 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. At Morgan Stanley, you'll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. 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.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. 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, 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.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M / F / Disability / Vet).