Morgan Stanley
Risk Officer
$120K–$170K
San Jose, California · On-site · Full-time · Posted Oct 14, 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
- Supervise branch risk, compliance, and regulatory practices; provide guidance and ensure timely approvals.
- Manage risk procedures, including data security, client suitability, complaints, audits, and remediation.
- Support compliance training, recruit onboarding, and coordination with legal, compliance, and investigation teams.
What they ask for
- Bachelor’s 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 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 to $170,000 per year (base salary)
Model-written summary · the original posting is authoritative