Top 9103 Risk officer Jobs

Risk Officer
Morgan Stanley —Los Angeles, CA
- $120,000 - $165,000 a year
- Full-time
- Management
- Office
- Bachelor's degree
Chief Medical Officer (CMO)
South Sound Behavioral Hospital —Lacey, WA
- $280,000 - $350,000 a year
- Full-time
- Medicine
- Psychiatry
- Inpatient
- Free parking
- Paid holidays
Quick Apply
Chief Medical Officer (CMO)
Hospital for Behavioral Medicine —Worcester, MA
- $325,000 - $350,000 a year
- Full-time
- Medicine
- Psychiatry
- Inpatient
- Free parking
- Paid holidays
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Security Officer
Synergy Security Services, LLC —Lamoni, IA
- $15 - $16 an hour
- Part-time
- Background check
- Customer service
- Pass drug screening
- Health insurance
- Dental insurance
Quick Apply
Commercial Banking Officer
Brattleboro Savings and Loan —Brattleboro, VT
- $80,000 - $150,000 a year
- Full-time
- Hybrid work
- Background check
- Bachelor of Science
- Finance
- Health savings account
- Health insurance
Quick Apply
Chief Medical Officer - Family or Int Medicine
Mission City Community Network —North Hills, CA
- $295,000 - $370,000 a year
- 8 hour shift
- Medicine
- Doctoral degree
- Psychiatry
- Paid holidays
- Health insurance
Quick Apply
Safety Officer
Skillings & Sons, LLC —Amherst, NH
- $28 - $32 an hour
- Part-time
- CPR Certification
- Construction site
- Data analysis skills
Quick Apply
Program Officer, Lending
Local Initiatives Support Corporation —Kansas City, MO
- $79,683 - $99,604 a year
- 5 years
- Finance
- Master's degree
- Disability insurance
- Health insurance
Quick Apply
14d
Director Fire and Rescue Simulation Training/Safety Officer
Wake Technical Community College —Raleigh, NC
- Full-time
- Classroom
- 3 years
- High school diploma or GED
- Paid holidays
- Disability insurance
Police Officer
City of Sheridan —Englewood, CO
- $73,000 - $109,559 a year
- Full-time
- In person
- CPR Certification
- Military
- Computer literacy
- Health insurance
- Dental insurance
Quick Apply
Police Officer
WakeMed Health & Hospitals —Cary, NC
- Hospital
- Mid-level
- High school diploma or GED
13d
Police Officer-Lateral
CUYAHOGA METROPOLITAN HOUSING AUTHORITY —Cleveland, OH
- $66,352.00 - $76,689.60 a year
- 12 hour shift
- Background check
- Mid-level
- High school diploma or GED
- Wellness program
- Health insurance
Quick Apply
Branch Operations Officer
FIRST BANKERS TRUST GROUP —Mendon, IL
- $44,369 - $56,000 a year
- Full-time
- Office
- 3 years
- Bachelor's degree
- Profit sharing
- Paid holidays
Quick Apply
Commercial Loan Officer (5+ years Experience Commercial or Ag Lending)
Community First National Bank —Manhattan, KS
- Full-time
- Background check
- Sales
- Customer service
- Health insurance
- Dental insurance
Quick Apply
SBA Business Development Officer - Northern Region
Citadel Federal Credit Union —Exton, PA
- Hybrid work
- 7 years
- Office
- Senior level
Customs and Border Protection Officer - Experienced
Customs and Border Protection —Calexico, CA
- $63,431 - $127,464 a year
- Online Application
- Mid-level
- Master's degree
- Military encouraged
- Dental insurance
- 401(k)
Safety Officer
SILICON VALLEY MECHANICAL —Sparks, NV
- $95,000 - $125,000 a year
- Full-time
- Background check
- Microsoft Excel
- Microsoft Outlook
- Paid parental leave
- Paid holidays
Quick Apply
10d
Chief Case Management & Permanency Officer
Heartland for Children —Bartow, FL
- From $90,000 a year
- Full-time
- Customer service
- Office
- 3 years
- 403(b) matching
- Health savings account
Quick Apply
Customs and Border Protection Officer - Experienced
Customs and Border Protection —Grand Portage, MN
- $63,431 - $127,464 a year
- Online Application
- Mid-level
- Master's degree
- Military encouraged
- Dental insurance
- 401(k)
Special Assets Officer
State Bank —St. Louis, MO
- Full-time
- Background check
- 5 years
- Writing skills
- Health insurance
- Dental insurance
Quick Apply
4d

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Risk Officer

Morgan Stanley -
Los Angeles, CA

Apply Now

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 officer jobs

Risk Officer

Chief Medical Officer (CMO)

Chief Medical Officer (CMO)

Security Officer

Commercial Banking Officer

Chief Medical Officer - Family or Int Medicine

Safety Officer

Program Officer, Lending

Director Fire and Rescue Simulation Training/Safety Officer

Police Officer

Police Officer

Police Officer-Lateral

Branch Operations Officer

Commercial Loan Officer (5+ years Experience Commercial or Ag Lending)

SBA Business Development Officer - Northern Region

Customs and Border Protection Officer - Experienced

Safety Officer

Chief Case Management & Permanency Officer

Customs and Border Protection Officer - Experienced

Special Assets Officer

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