ETRADE Risk Officer

Morgan Stanley • Sandy, UT

8d

About The Position

The Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Risk Officer, the Risk Officer has accountability for maintaining a consistent controlled environment through adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. The Risk Officer keeps the Senior Risk Officer informed of significant matters.

Requirements

• 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
• 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 Relationship Managers and business leadership
• Excellent judgment and the ability to be discreet in all matters
• Strong work ethic

Responsibilities

• Primarily responsibility for all risk, supervisory and compliance function for the business
• Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer or Senior business management
• Focuses on business ethics and regulatory and compliance practices
• Provides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environment
• Ensure proper procedures are in place to ensure that approvals are handled appropriately and timely
• Monitors and implements procedures to manage all facets of risk, including data security
• Supports the facilitation of 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 Management, Site Leaders and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times
• Oversees responsibilities outlined in the ETRADE Supervisory Manual, as well as new policies to ensure the Market has appropriate procedures in place
• Supports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediated
• Works with Management, Site Leaders and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken
• Together with the Senior Risk Officer, facilitates the training on Morgan Stanley Wealth Management Compliance policies and procedures to service colleagues
• Assists in the review and onboarding of all new employees in the location

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level