Regional Risk Officer Regional Risk Officer …

Morgan Stanley
in Boston, MA, United States
Permanent, Full time
Last application, 23 Jan 21
Competitive
Morgan Stanley
in Boston, MA, United States
Permanent, Full time
Last application, 23 Jan 21
Competitive
Regional Risk Officer
Regional Risk Officer POSITION SUMMARY: The Regional Risk Officer is responsible for a wide variety of supervisory, compliance and risk functions related to the Region, Complex, and, where applicable, Associate Offices.  The Regional Risk Officer operates independently and keeps the Regional Director informed of significant compliance and risk matters, and must determine when the Complex Manager, Regional Director, or Division Risk Officer should be directly involved.  S/He must be able to make risk based assessments for Regional-level required approvals.  The Regional Risk Officer role is a non-revenue sharing position that has dual straight-line reporting to the Regional Director and the Division Risk Officer. Travel is required for this position. DUTIES and RESPONSIBILITIES: Surveillance and Supervision     Primary responsibility for supervisory and risk functions for the Region     Supports any supervisory inquiry or compliance process escalated from the Complex     Provides the coaching and guidance on risk and compliance policies and procedures in order to promote risk awareness and a compliant environment across the Region     Ensures appropriate Supervisory Plans are in place throughout all Complexes in the Region.     Works with Business Service Managers and Risk Officers across the Region to improve risk and compliance functions
  Compliance / Risk Management / Legal     Monitors and implements procedures to manage all facets of risk, including data security, across the Region     Handles all responsibilities as outlined in the Regional Supervisory Manual     Supports the preparation for and response to audits and ensures any audit findings are responded to and remediated     Region contact for key risk areas, including credit and operational risk     Responsible for proactive client contact in determining suitability and managing risk     Active involvement in Credit Committee determinations     Region source for intelligence on risk in regard to Clients and FAs     Knowledge   of   SEC,   FINRA   and   Morgan   Stanley   Compliance   Policies   and Procedures

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Education and/or Experience:     Bachelors degree required or equivalent education and experience.  Advanced degree preferred     At least 7 years brokerage industry experience Licenses and Registrations     Active Series 7, 8 (or 9 and 10), 63, 65 (or 66) and 31/3 registrations Skills     Effective written and verbal communication skills     Strong attention to detail     Ability to interact with senior management team, Financial Advisors, Clients, and corporate and field personnel as needed.     Ability to own projects at a Regional level     Ability to proactively identify issues and trends in order to provide recommended comprehensive solutions and remedies, liaising with appropriate corporate partners     Ability to organize and prioritize work, meet deadlines, and see a project through to completion Reports to:     Dual direct reporting to: Division Risk Officer and Regional Director. Morgan Stanley EOE committed to diversifying its workforce. M/F/D/V.

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Primary Location: Americas-United States of America-Massachusetts-Boston
Work Locations:
Job: Wealth Management
Organization: Morgan Stanley
Job Posting: Nov 20, 2020
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