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Senior Risk Officer - Buffalo, United States - Morgan Stanley
Description
POSITION SUMMARY:
__ The Senior Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions related to the Market.
In conjunction with the Market Executive and other Risk Officers within the Market, the Senior Risk Officer has accountability in the Market for maintaining a consistent control 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.
The Senior Risk Officer keeps the Market Executive informed of significant matters within the Market and must determine when the Market Executive, other Branch Managers within the Market and/or Regional Risk Officer should be directly involved.
The Senior Risk Officer role is a non-revenue sharing position that has dual straight line reporting to the Market Executive and Associate Regional Risk Officer.
DUTIES andRESPONSIBILITIES:
Education and/or Experience · Bachelor's degree required or equivalent education or experience· Previous industry experience· Active Series 3, 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:
M/F/D/V.
Job:
*Wealth Management
Location:
Alabama-Birmingham
Requisition ID:
3251922
Other Locations:
Americas-United States of America-Florida-Pensacola
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