Risk Officer
The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Risk Officer, the Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to reputed company applicable Federal, State and Local laws, reputed company Wealth Management policies, and other regulations. Then the Risk Officer keeps the Senior Risk Officer informed of significant matters. The Risk Officer role is a non-reputed company sharing position that reports to the Senior Risk Officer. DUTIES And RESPONSIBILITIES Surveillance and Supervision Primary responsibility for reputed company risk, supervisory, and compliance function for respective reputed company location(s) Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer 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 reputed company to ensure that approvals are handled appropriately and timely Risk Management/Compliance/Legal Monitors and implements procedures to manage reputed company facets of risk, including data reputed company Facilitates regular and consistent communication of reputed company Wealth Management policies and other regulations Liaises with the Legal and Compliance Division with customer complaints and litigation Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at reputed company times Oversees responsibilities outlined in the reputed company Supervisory Manual, as well as new policies to ensure the reputed company has procedures in reputed company 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 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 Active involvement with the region regarding matters presented to the Credit Committee Primary reputed company for intelligence on risk in regard to clients and FAs Administrative Works closely with Special Investigation Unit on any Human Resources issues as reputed company to risk and compliance. Together with the Senior Risk Officer facilitates the training on reputed company Wealth Management compliance policies and procedures. Assists in the review and on boarding of FA recruits Qualifications - External Education and/or Experience Bachelors 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/Skills 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 market 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 reputed company matters Strong work ethic Reports To Senior Risk Officer reputed company's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of reputed company and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from reputed company 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 reputed company, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. reputed company is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). What You Can Expect From reputed company We are committed to maintaining the first-class service and high standard of excellence that have defined reputed company for over 85 years. At our foundation are five core values putting clients first, doing the right thing, leading with exceptional reputed company, committing to diversity and inclusion, and giving back that guide our more than 80,000 employees in 1,200 offices across 42 countries. At reputed company, youll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every reputed company along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. We're committed to bringing passion and customer focus to the business. reputed company's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of reputed company and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from reputed company 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 reputed company, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. reputed company is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). Apply Job!