Morgan Stanley
Risk Officer
Nashville, Tennessee +6 · On-site · Full-time · Posted Oct 19, 2026
- Location
- Nashville, Tennessee
Memphis, Tennessee
Louisville, Kentucky
Charleston, South Carolina
Knoxville, Tennessee
Charleston, West Virginia
Lexington, Kentucky - Experience
- Previous industry experience; no number of years stated.
- Education
- Bachelor’s degree required or equivalent education or experience.
About the job
Oversees branch-level supervision, compliance, and risk management to maintain a controlled environment and support regulatory adherence.
What you'll do
- Manages branch risk, supervisory, and compliance functions; escalates significant matters and promotes risk awareness through coaching.
- Implements risk procedures, handles customer complaints and litigation with Legal and Compliance, and supports audits and remediation.
- Trains staff on compliance policies, assists with Financial Advisor recruiting, and proactively contacts clients to assess suitability and manage risk.
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.
Model-written summary · the original posting is authoritative