Apply on Employer Site

E*TRADE from Morgan Stanley · 2 days ago

Senior Risk Officer

Atlanta, Georgia, United States of America

Full-time

Onsite

Senior Level

E*TRADE from Morgan Stanley is a leading financial services provider, and they are seeking a Senior Risk Officer to oversee risk, supervisory, and compliance functions within the Complex. The role involves managing risk practices, ensuring adherence to regulations, and facilitating communication among various stakeholders to maintain a compliant environment.

BankingFinanceFinancial Services

Responsibilities

Primary responsibility for all risk, supervisory, and compliance functions for the Complex

Communicates and facilitates any supervisory inquiry or process that requires escalation from the Complex to the Regional Risk Officer

Focuses on business ethics and regulatory and compliance practices

Provides the coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment within the Complex

Ensures proper procedures are in place to ensure that approvals are handled appropriately and timely

Manages the Complex Risk Officers within the Complex to ensure consistent regulatory and compliance practices

Ensures procedures are in place for self-audits

Monitors and implements procedures to manage all facets of risk, including data security, across the Complex

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 Complex Manager and Complex Risk Officers, ensures appropriate supervisory coverage is maintained at all times across the Complex as required by Firm policy

Oversees all responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the complex has procedures in place

Is responsible for the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated

Works with Complex Manager and Complex Risk Officers to monitor people risk, and ensures appropriate action is taken

Responsible for proactive client contact within the Complex 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

Active involvement with margin and credit decisions

Works closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance

Together with the Complex Risk Officers in the Complex, facilitates the training of all personnel on Morgan Stanley Wealth Management compliance policies and procedures

Assists in the review and on boarding of FA recruits

Qualification

Risk ManagementCompliance PoliciesSeries 3SECFINRA KnowledgeLeadership ExperienceClient InteractionCommunication SkillsAttention to DetailProblem SolvingWork Ethic