POSITION SUMMARY:

The Regional Risk Officer helps develop and maintain a culture of guardianship across the Region. The Regional Risk Officer works closely with the Regional Director and Head of Field Risk, keeping them informed of significant compliance and risk matters, and must partner with Field Leadership and other business and control partners on ongoing risk matters. The RRO creates a strong partnership with our Central Review Unit, the broader Client Segment Risk team, and WM Risk counterparts and helps execute our broader Client Segment Risk strategy. The Regional Risk Officer role is a non-revenue sharing position that reports to the Head of Field Risk with a dotted line to the Regional Director. Travel is required for this position.

DUTIES and RESPONSIBILITIES:

Leadership and Supervision

• Leads the region in driving the organization’s strategic risk priorities by influencing and coaching behavioral change
• Leads and mentors ARROs, SROs and Risk Officers across the Region to improve risk and compliance functions
• Supports any supervisory inquiry or compliance process escalated from the Market
• Partners with ARROs to identify, create and promote risk officer training and other learning & development opportunities across the region
• Ensures appropriate Supervisory Plans are in place throughout the Markets in the Region

Communication and Relationship Building

• Maintains strong relationships and liaises with key partners throughout the Region and Home Office (e.g., spearheading various platform pilots and/or national rollouts locally within the Region)
• Provides oversight of business and risk related issues escalated to the Region
• Actively participates in national calls and stays abreast of key topics in order to effectively cascade communications within the Region as well as participate in conversations around these issues at the National level

Compliance / Risk Management / Legal

• Monitors and implements procedures to manage all facets of risk across the Region
• Executes responsibilities as outlined in the Regional Director Supervisory Manual
• Supports the preparation for and response to audits and ensures any audit findings are responded to and remediated
• Regional contact for key risk areas, including conduct, sales practice and operational risks
• Active involvement in Governance forums
• Knowledge of SEC, FINRA and Morgan Stanley Compliance Policies and Procedures

Education and/or Experience:

• Bachelors degree required or equivalent education and experience. Advanced degree preferred

• At least 7 years brokerage industry experience

Licenses and Registrations

• Active Series 7, 8 (or 9 and 10), 63, 65 (or 66) registrations

Skills

• Effective written and verbal communication skills

• Strong attention to detail

• Ability to interact with senior management team, Financial Advisors, Clients, and corporate and field personnel as needed.

• Ability to own projects at a Regional level

• Ability to proactively identify issues and trends in order to provide recommended comprehensive solutions and remedies, liaising with appropriate corporate partners

• Ability to organize and prioritize work, meet deadlines, and see a project through to completion

Reports to:

• Reports to Head of Field Risk with a dotted line to the Regional Director.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

We're committed to bringing passion and customer focus to the business.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).