National Risk Officer

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking securities investment management and wealth management services. The Firms employees serve clients worldwide including corporations governments and individuals from more than 1200 offices in 43 countries. As a market leader the talent and passion of our people is critical to our success. Together we share a common set of values rooted in integrity excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn to achieve and grow. A philosophy that balances personal lifestyles perspectives and needs is an important part of our culture.

The National Risk Officer is responsible for a wide variety of supervisory compliance and risk conjunction with the Senior Risk Officer (SRO) and the Associate/Regional Risk Officer (ARRO/RRO) the National Risk Officer has accountability for maintaining a consistent controlled 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. Additionally the National Risk Officer keeps the Market and Region informed of significant matters and is a non-revenue sharing position that has dual reporting to the Head of the Centralized Review Unit (CRU) and the Associate Regional Risk Officer (ARRO). Finally this position will support various risk and supervisory functions for a single Market and/or multiple Markets within a single Region and may provide Risk Officer coverage for functions specific to a single Market a single Branch or multiple branches within a Region.

DUTIES AND RESPONSIBILITIES:

• Primarily responsible for all risk supervisory and compliance functions for respective branch location(s)
• Reviews and responds to a variety of supervisory alerts in a timely and sufficient manner
• Support increased Risk Officer workload due to remediation requirements new FA/FAA recruits onboarding etc.
• Fill coverage and/or resource gaps resulting from temporary Risk Officer attrition shortages (e.g. turnover resignations etc.)
• Assist Markets during periods of high-volume supervisory alerts
• Manages and responds to senior or vulnerable adult financial exploitation diminished capacity or other concerns affecting Morgan Stanleys senior or vulnerable clients
• Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO)
• Provides coaching guidance and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment
• Interview clients where necessary and collaborates with internal partners in Legal Compliance Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts
• Liaises with the Legal and Compliance Division to respond to customer complaints and litigation
• Supports the preparation for and response to all branch exams and internal audits and ensures that any audit findings are appropriately responded to and remediated
• National Risk Officers may travel to different Markets within the Region to provide support as needed

• Bachelors degree or equivalent work 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
• Strong knowledge of SEC FINRA Rules and Regs including Investment and Product Knowledge
• Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred
• Effective written and verbal communication skills
• 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
• Ability to organize and prioritize tasks 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 quantitative and analytical skills
• High motivation and energy with ability to develop strong working relationships
• A calm demeanor and ability to work on multiple tasks at one time
• Self-starter with a strong attention to detail
• Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
• Excellent problem-solving and business judgment
• Strong organizational planning and time management skills
• Ability and willingness to voice ideas in addition to following instructions
• Proficiency in MS Office PowerPoint Excel

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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Morgan Stanleys 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 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.

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