Top 406 Risk Management Officer Jobs

Risk Officer
Morgan Stanley —Los Angeles, CA
- $120,000 - $165,000 a year
- Full-time
- Management
- Office
- Bachelor's degree
Compliance Officer / Loan Administration Officer (5 yrs experience required)
Farmers State Bank Pine Bluffs —Pine Bluffs, WY
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Office
- Disability insurance
- Health insurance
Quick Apply
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VP BSA & Fraud Officer
Bristol County Savings Bank —Taunton, MA
- $110,000 - $150,000 a year
- 5 years
- Office
- Finance
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6d
Health and Safety Officer
SERVPRO of Wright County —Monticello, MN
- $60,000 - $80,000 a year
- Weekends as needed
- Clean driving record
- Up to 50% travel
- Construction site
- Health savings account
- Paid holidays
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Chief Financial Officer
BolyːWelch —Portland, OR
- CPA
- 11+ years
- Office
- Paid holidays
- Health insurance
11h
Senior Trust Officer – Special Needs Trusts (SNT)
The MOHR Enterprises LLC —Dallas, TX
- $130,000 - $145,000 a year
- Office
- 8 years
- Senior level
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Business Banking Officer, Santa Rosa, CA
WESTAMERICA BANK —Santa Rosa, CA
- $71,000 - $82,000 a year
- Full-time
- Basic math
- Mid-level
- Office
- Health insurance
- Dental insurance
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Chief Revenue Officer (Construction)
Leoforce —Honolulu, HI
- $275,000 - $350,000 a year
- 5 years
- Analysis skills
- Bachelor's degree
- Paid holidays
- Health insurance
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Risk Compliance Officer(Korean-English Bilingual)
Korean Global Banking Institution —Fort Lee, NJ
- From $50,000 a year
- Full-time
- English
- Mid-level
- Office
- Health insurance
- Dental insurance
Quick Apply
Security Officer (Part-Time)
Kamehameha Schools —Makawao, HI
- $27.19 - $36.49 an hour
- Part-time
- School experience
- CPR Certification
- Word processing
Chief Financial Officer / 62203
Sapphire Recruitment —Syracuse, NY
- $160,000 - $180,000 a year
- Full-time
- CPA
- Office
- Analysis skills
Quick Apply
Tactical Security Officer- Entry Level
GardaWorld Security Services U.S. —Appleton, WI
- $19 - $32 an hour
- Full-time
- Background check
- Ability to walk for extended periods
- Military
- Paid holidays
- Disability insurance
Quick Apply
Senior Compliance Officer
Albany Medical Center —Albany, NY
- $146,542 - $234,467 a year
- Full-time
- 7 years
- HIPAA
- Senior level
Risk Officer
Seamless Talent —New York, NY
- $90,000 - $110,000 a year
- Computer literacy
- Bachelor of Science
- Writing skills
Enterprise Risk Management Officer
Seamless Talent —New York, NY
- $115,000 - $130,000 a year
- Microsoft Outlook
- Computer literacy
- Office
Senior Underwriting Officer, Risk Management
Liberty Mutual —Remote
- $98,000 - $298,000 a year
- Full-time
- Remote
- Bachelor's degree
- Senior level
- Leadership
VP, Third Party Risk Officer
Morgan Stanley —Baltimore, MD
- $95,000 - $165,000 a year
- Full-time
- 6 years
- Office
- Analysis skills
- Health savings account
- Paid holidays
Private Wealth Risk Officer
AllianceBernstein —Nashville, TN
- $110,000 - $130,000 a year
- Full-time
- Office
- Bachelor's degree
- Senior level
- Wellness program
- Paid holidays
Risk Management Officer (Security Officer)
SWISSOTEL —Chicago, IL
- $26.91 an hour
- Overnight shift
- Mid-level
- Residential
- 1 year
- AD&D insurance
- Dental insurance
Quick Apply
Risk Management Officer
MORONGO BAND OF MISSION INDIANS —Banning, CA
- Full-time
- Microsoft Excel
- Computer literacy
- Mid-level

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Risk Officer

Morgan Stanley -
Los Angeles, CA

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Job Details

Full-time
$120,000 - $165,000 a year

Qualifications

Customer communication
Series 7

Full Job Description

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Risk Officer, the Risk Officer has accountability for maintaining a consistent controlled environment through adherence of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. Then the Risk Officer keeps the Senior Risk Officer informed of significant matters. The Risk Officer role is a non-revenue sharing position that reports to the Senior Risk Officer.

DUTIES and RESPONSIBILITIES:

Surveillance and Supervision

Primary responsibility for all risk, supervisory, and compliance function for respective branch location(s)
Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk Officer
Focuses on business ethics and regulatory and compliance practices
Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely

Risk Management/Compliance/Legal

Monitors and implements procedures to manage all facets of risk, including data security
Facilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulations
Liaises with the Legal and Compliance Division with customer complaints and litigation
Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times
Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market has procedures in place
Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
Works with Market Manager and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken
Responsible for proactive client contact in determining suitability and managing risk
Active involvement with the region regarding matters presented to the Credit Committee
Primary source for intelligence on risk in regard to clients and FAs

Administrative

Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.
Together with the Senior Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.
Assists in the review and on boarding of FA recruits

Qualifications - External

Education and/or Experience

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/Skills

Knowledge of SEC, FINRA and Firm Compliance Policies and Procedures
Effective written and verbal communication skills
Strong attention to detail
Ability to prioritize and resolve complex problems and escalate as necessary
Ability to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remedies
Evidence of strong leadership capabilities or previous supervisory experience
Ability to organize and prioritize workflow and assignments in a deadline oriented environment
Ability to interact with Financial Advisors and clients
Excellent judgment and the ability to be discreet in all matters
Strong work ethic

Reports to:

Senior Risk Officer

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Expected base pay rates for the role will be between $120,000 - $165,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit : https://www.morganstanley.com/people-opportunities/eeo .

Apply Now

Refine Your Search

Risk Management Officer jobs

Risk Officer

Compliance Officer / Loan Administration Officer (5 yrs experience required)

VP BSA & Fraud Officer

Health and Safety Officer

Chief Financial Officer

Senior Trust Officer – Special Needs Trusts (SNT)

Business Banking Officer, Santa Rosa, CA

Chief Revenue Officer (Construction)

Risk Compliance Officer(Korean-English Bilingual)

Security Officer (Part-Time)

Chief Financial Officer / 62203

Tactical Security Officer- Entry Level

Senior Compliance Officer

Risk Officer

Enterprise Risk Management Officer

Senior Underwriting Officer, Risk Management

VP, Third Party Risk Officer

Private Wealth Risk Officer

Risk Management Officer (Security Officer)

Risk Management Officer

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