Morgan Stanley
Risk Officer
Boca Raton, Florida · On-site · Full-time · Posted Oct 1, 2026
- Experience
- Previous industry experience; no number of years specified.
- Education
- Bachelor’s degree required or equivalent education or experience.
About the job
Oversees branch-level risk, supervision, and compliance, maintaining a controlled environment and addressing regulatory, client, audit, and personnel risks.
What you'll do
- Monitor and implement branch risk and compliance procedures, including data security, supervisory coverage, and policy updates.
- Facilitate supervisory inquiries and audit responses; coordinate with Legal and Compliance on complaints and litigation, and remediate findings.
- Coach and train staff on policies, assess client suitability, and assist with FA recruit reviews and onboarding.
What they ask for
- Bachelor’s degree or equivalent education or experience.
- Previous industry experience.
- Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
Nice to have
- Evidence of strong leadership capabilities or previous supervisory experience.
Model-written summary · the original posting is authoritative