Risk Officer at Morgan Stanley

Tampa, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

21 Jan, 26

Salary

140000.0

Posted On

23 Oct, 25

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Risk Management, Compliance, Data Security, Supervision, Coaching, Regulatory Practices, Audit Preparation, Client Contact, Human Resources, Leadership, Communication, Problem Solving, Attention to Detail, Workflow Organization, Judgment, Ethics

Industry

Financial Services

Description

Surveillance and Supervision Primarily responsibility for all risk, supervisory and compliance function for the business Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer or Senior business management Focuses on business ethics and regulatory and compliance practices Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely Monitors and implements procedures to manage all facets of risk, including data security Liaises with the Legal and Compliance Division with customer complaints and litigation Together with the Market Managers, Site Leaders and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market has appropriate procedures in place Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated Works with Market Manager, Site Leaders and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken Responsible for proactive client contact in determining suitability and managing risk Works closely with Special Investigations Unit on any Human Resources issues as related to risk and compliance Assists in the review and onboarding of all new employees in the location 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) 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 Relationship Managers 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. New York: Expected base pay rates for the role will be between $84,000 and $140,000 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.

Responsibilities

The Risk Officer is primarily responsible for all risk, supervisory, and compliance functions for the business, ensuring that proper procedures are in place for timely approvals. They also monitor and implement procedures to manage all facets of risk and liaise with the Legal and Compliance Division regarding customer complaints and litigation.