Return To Work - Central Review Risk Officer- Wealth Management Client Segment | South Jordan, UT
About The Position
Morgan Stanley's South Jordan Return to Work program is a 16-week paid initiative designed for experienced professionals who have taken a career break and are eager to re-enter the workforce. The program runs from January 18, 2027, through May 7, 2027, and places participants in roles aligned with their expertise while providing comprehensive training, mentorship, and professional development. This specific role, Central Review Risk Officer within the Wealth Management Client Segment Risk team, focuses on sales practices, suitability, and regulatory compliance. The Central Review Unit (CRU) oversees a control framework, leveraging data, technology, and AI for enhanced surveillance and proactive risk management. The role is ideal for a high-performing risk professional interested in the intersection of Wealth Management, advanced analytics, and risk oversight.
Requirements
- Deep expertise in financial markets, securities, and wealth management products, with the ability to assess risk across complex scenarios
- Demonstrated aptitude for artificial intelligence and data-driven risk management, including the ability to apply analytics to enhance surveillance and controls
- Proven track record of strengthening or transforming risk and control frameworks
- Strong investigative and critical thinking skills, with the ability to independently drive issues from identification through resolution
- Sophisticated understanding of SEC, FINRA, and regulatory expectations within Wealth Management
- Advanced ability to identify trends, root causes, and emerging risks, and to deliver practical, scalable solutions
- Exceptional organizational and prioritization skills, with the ability to manage competing demands without compromising quality
- Strategic mindset with the ability to evaluate broader risk implications and anticipate downstream impacts
- Advanced technical proficiency, including Excel and data analytics tools
- 3-5 years of experience in risk management, compliance, or supervisory functions within financial services
- Authorization to work in the U.S. without restrictions
- Successful completion of all applicable pre-employment requirements
Nice To Haves
- Experience with Alternative Investments and complex financial products is strongly preferred
- Demonstrated experience leveraging technology or analytics to enhance risk processes is highly desirable
- Active Series 7 & 66 (or 65 and 63) required
- Series 9 and 10 (or 8) preferred, or ability to obtain within 60 days of hire
Responsibilities
- Lead the analysis and oversight of core risk controls, including Trade Supervision, Advisory Account activity, and Suitability Reviews
- Serve as a trusted partner to Field Risk leadership, influencing outcomes and driving alignment across the business
- Own relationships with assigned Field Branches, leading recurring risk discussions and providing strategic guidance
- Deliver high-impact reporting and trend analysis, translating complex data into clear, actionable insights
- Identify opportunities to modernize and optimize the control framework, including the integration of AI, automation, and advanced analytics
Benefits
- Comprehensive training
- Mentorship
- Professional development
- Paid program
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
