Top 41 Risk officer Jobs in Morgan Hill, Ca

Risk Officer
Morgan Stanley —San Jose, CA
- $120,000 - $160,000 a year
- Full-time
- Management
- Office
- Bachelor's degree
Unarmed Flex Officer - All Shifts - Morgan Hill
Prosegur —Morgan Hill, CA
- $26 - $27 an hour
- Part-time
- Clean driving record
- Ability to walk for extended periods
- Computer literacy
Quick Apply
2d
SVP, Enterprise Risk Management Officer
Avidbank —San Jose, CA
- $180,000 - $240,000 a year
- Full-time
- Hybrid work
- Office
- Finance
- Analysis skills
- Paid holidays
- Disability insurance
Quick Apply
Emergency Medical Technician (EMT) Officer
Securitas Security Services —San Jose, CA
- Full-time
- Entry level
- Paid holidays
- Disability insurance
21h
Lead Unarmed Security Officer
Metro One Loss Prevention Services Group (West Coast), Inc. —San Jose, CA
- $32.31 an hour
- Online Application
- Military
- Mid-level
- Driver's License
- Health insurance
- Dental insurance
Quick Apply
Stationary Security Officer
Bastion Security Services —San Jose, CA
- $20 - $21 an hour
- 8 hour shift
- Ability to walk for extended periods
- English
- In-person
- Health insurance
- Referral program
Quick Apply
9d
Security Officer - Weekly Pay
Securitas Security Services —Gilroy, CA
- No experience needed
- Food service experience
- Entry level
- Paid holidays
- Disability insurance
Security Officer - Tech Site
GardaWorld Security Services U.S. —San Jose, CA
- $23 an hour
- Military
- Computer literacy
- High school diploma or GED
- Paid holidays
- Disability insurance
Quick Apply
4d
Unarmed Security Officer - Part Time Officer
Prosegur —San Jose, CA
- $25 an hour
- Part-time
- Ability to walk for extended periods
- Ability to climb stairs
- High school diploma or GED
Quick Apply
2d
Deputy Chief Information Security Officer (CISO), US
OKX —San Jose, CA
- $250,444 - $375,666 a year
- Hybrid work
- Management
- Fair chance
- Senior level
Unarmed Flex Officer - All Shifts - Santa Clara
Prosegur —Santa Clara, CA
- $26 - $27 an hour
- Part-time
- Clean driving record
- Ability to walk for extended periods
- Computer literacy
Quick Apply
13d
Deputy Chief Compliance Officer
Western Digital —San Jose, CA
- $262,700 - $350,200 a year
- Full-time
- Hybrid work
- 11+ years
- Office
- Master's degree
- Health savings account
- AD&D insurance
Quick Apply
6d
Security Officer - Daily Pay Option Available
Securitas Security Services —Santa Clara, CA
- Hospitality
- No experience needed
- Food service experience
- Paid holidays
- Disability insurance
10d
Tactical Security Officer - Retail
GardaWorld Security Services U.S. —San Jose, CA
- $34 an hour
- Full-time
- Ability to walk for extended periods
- 5 years
- Military
- Disability insurance
- Health insurance
Quick Apply
8d
Chief Technology Officer(CTO)/Co-founder
Zoom My Life —San Jose, CA
- Part-time
- Azure
- Computer Science
- HIPAA
Flex Security Officer - Open Availability REQUIRED
Securitas Security Services —Santa Clara, CA
- Part-time
- Hospitality
- No experience needed
- Food service experience
- Paid holidays
- Disability insurance
Site Safety & Health Officer (SSHO)
Stronghold Engineering —San Jose, CA
- $90,000 - $120,000 a year
- Full-time
- Microsoft Outlook
- Construction site
- Hospital
Quick Apply
Flex Officer-Open Availability REQUIRED in SouthBay to Peninsula
Securitas Security Services —San Jose, CA
- Hospitality
- No experience needed
- Food service experience
- Paid holidays
- Disability insurance
Security Administrative Officer
Securitas Security Services —Santa Clara, CA
- Full-time
- Background check
- 18 years or older
- Pass drug screening
- Paid holidays
- Disability insurance
Travel Safety Officer
KPRS Construction Services, Inc. —San Jose, CA
- Full-time
- Spanish
- CPR Certification
- Construction site
- Flexible schedule
Quick Apply
8d

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risk officer jobs near morgan hill, ca

Risk Officer

Morgan Stanley -
San Jose, CA

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Job Details

Full-time
$120,000 - $160,000 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 and $160,000 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 officer jobs in morgan hill, ca

Risk Officer

Unarmed Flex Officer - All Shifts - Morgan Hill

SVP, Enterprise Risk Management Officer

Emergency Medical Technician (EMT) Officer

Lead Unarmed Security Officer

Stationary Security Officer

Security Officer - Weekly Pay

Security Officer - Tech Site

Unarmed Security Officer - Part Time Officer

Deputy Chief Information Security Officer (CISO), US

Unarmed Flex Officer - All Shifts - Santa Clara

Deputy Chief Compliance Officer

Security Officer - Daily Pay Option Available

Tactical Security Officer - Retail

Chief Technology Officer(CTO)/Co-founder

Flex Security Officer - Open Availability REQUIRED

Site Safety & Health Officer (SSHO)

Flex Officer-Open Availability REQUIRED in SouthBay to Peninsula

Security Administrative Officer

Travel Safety Officer

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