Morgan Stanley · 2 days ago
E*TRADE Risk Officer
Morgan Stanley is a global financial services firm that provides investment banking, securities, investment management, and wealth management services. The Risk Officer supports E*TRADE Premium & Specialty Client and Emerging Wealth Solutions by executing a broad range of supervisory, compliance, and risk responsibilities to maintain a consistent control environment.
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Responsibilities
Own day-to-day risk, supervisory, and compliance oversight for E*TRADE Self‑Directed and covered client segments, including E*TRADE Premium & Special Client (ETPS) and Emerging Wealth Solutions (EWS)
Maintain a strong control environment by promoting ethical business practices and ensuring adherence to applicable laws, regulations, and firm policies and procedures
Manage and facilitate supervisory inquiries and escalation requests from ETPS & EWS by partnering with the Senior Risk Officer (SRO), Associate/Regional Risk Officer (ARRO/RRO), and business management to drive timely resolution
Provide coaching and guidance to Relationship Managers, Team Leads, and Managers on supervisory expectations, policy interpretation, and procedural requirements to strengthen risk awareness and compliance culture
Ensure supervisory approvals and oversight case escalations are executed accurately and within required timeframes, validating that supervisory actions, documentation, and follow-up meet policy standards
Support compliance examinations and internal audit activities, including readiness planning, evidence collection, and timely response coordination
Oversee ongoing risk monitoring and control execution across key risk areas (including operational risk, conduct risk, and data/security-related risk) and implement enhancements as needed
Drive consistent communication of Morgan Stanley Wealth Management policies and regulatory expectations to service and supervisory teams, ensuring updates are understood and operationalized
Partner with Legal and Compliance on escalations, coordinating communications, documentation, and response support as appropriate
Ensure continuous and appropriate supervisory coverage, working with Management, Site Leaders, and the Senior Risk Officer to maintain coverage models and back-up plans
Oversee adherence to the E*TRADE Self‑Directed Compliance and Supervisory Manual and support implementation of new policies/standards to ensure EWS and ETPS processes remain current and effective
Monitor 'people risk' indicators (e.g., training, conduct trends, policy adherence), escalating concerns and partnering with leadership to ensure appropriate corrective action
Co-facilitate compliance and supervisory training, in partnership with the Senior Risk Officer, to ensure colleagues understand and apply Wealth Management compliance policies and procedures
Support onboarding risk controls for new hires, including Employee Investing/Activities Compliance (OBI/OBA approvals, private investment reviews, Monthly Employee Dashboard checks, and early-supervision routines)
Conduct risk-based oversight reviews of service center activities—including referrals, line-of-credit monitoring for regulatory compliance, account restrictions, disbursements and credits, trade/crypto supervision, and other control reviews as needed
Qualification
Required
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
Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures
Clear, concise written and verbal communicator able to deliver guidance, training, and escalation updates to varied audiences
Detail-oriented with strong organizational skills; able to manage multiple priorities accurately in a deadline-driven environment
Applies structured analysis to identify issues/trends and drive timely, well-documented resolution and remediation, including escalation when needed
Demonstrated leadership and/or supervisory experience; able to partner effectively with business leadership and control partners
Exercises strong judgment and discretion in all business risk matters, including sensitive supervisory and conduct-related topics
Company
Morgan Stanley
Global investment banking, securities, wealth and investment management services.
Funding
Current Stage
Public CompanyTotal Funding
unknown1997-02-05IPO
Leadership Team
James Gorman
Chairman and CEO
Ted Pick
Chief Executive Officer (CEO)
Recent News
2026-09-05
2026-09-04
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