Morgan Stanley
Risk Officer
$120K–$170K
Los Angeles, California · On-site · Full-time · Posted Oct 20, 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 supervision, compliance, and risk management, maintaining a controlled environment and escalating significant matters to the Senior Risk Officer.
What you'll do
- Manages branch risk, supervisory, and compliance functions, including policy guidance, approvals, and data security procedures.
- Coordinates audits, complaints, litigation, supervisory coverage, and remediation with relevant business, Legal, and Compliance partners.
- Supports compliance training, client suitability and risk contacts, and review and onboarding of Financial Advisor recruits.
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); other licenses as required for role or by management.
- Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures.
Nice to have
- Evidence of strong leadership capabilities or previous supervisory experience.
Pay
USD $120,000 - $170,000 per year (base salary)
Tools
SEC, FINRA
Model-written summary · the original posting is authoritative