Central Review Unit Risk Officer - Wealth Management Client Segment

Morgan Stanley•South Jordan, UT

About The Position

This role is designed for a high-performing risk professional seeking to operate at the intersection of Wealth Management, advanced analytics, and next-generation risk oversight. Join our Wealth Management Client Segment Risk team—an in-business risk function with direct impact on the integrity of The Firm. Within this team, the Central Review Unit (CRU) serves as a centralized hub of experienced Risk Officers responsible for overseeing and continuously evolving a sophisticated control framework focused on sales practices, suitability, and regulatory compliance. You will play a critical role in shaping how risk is identified, analyzed, and managed—leveraging data, technology, and artificial intelligence to enhance surveillance capabilities and drive smarter, more proactive risk outcomes.

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
Bachelor’s degree or equivalent experience required
Active Series 7 & 66 (or 65 and 63) required
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
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