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Single PositionView All JobsRisk OfficerKirkland, Washington, United States of AmericaApply NowFind out how well you match with this jobUpload your resumeJob descriptionEmployment TypeFull timeJob LevelProfessionalPosted DateJul 16, 2026Job DescriptionThe 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 of business ethics and practices and adherence to all applicable Federal, State and Local laws, Morgan Stanley Wealth Management policies, and other regulations. Then the Risk Officer keeps the Senior Risk Officer informed of significant matters. The Risk Officer role is a non-revenue sharing position that reports to the Senior Risk Officer.DUTIES and RESPONSIBILITIES:Surveillance and SupervisionPrimary responsibility for all risk, supervisory, and compliance function for respective branch location(s)Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer and/or the Regional Risk OfficerFocuses on business ethics and regulatory and compliance practicesProvides coaching and guidance on policies and procedures in order to promote risk awareness and a compliant environmentEnsure proper procedures are in place to ensure that approvals are handled appropriately and timelyRisk Management/Compliance/LegalMonitors and implements procedures to manage all facets of risk, including data securityFacilitates regular and consistent communication of Morgan Stanley Wealth Management policies and other regulationsLiaises with the Legal and Compliance Division with customer complaints and litigationTogether with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all timesOversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market has procedures in placeSupports in the preparation for and response to audits, and ensures that any audit findings are appropriately responded to and remediatedWorks with Market Manager and Senior Risk Officer to monitor people risk, and ensures appropriate action is takenResponsible for proactive client contact in determining suitability and managing riskActive involvement with the region regarding matters presented to the Credit CommitteePrimary source for intelligence on risk in regard to clients and FAsAdministrativeWorks closely with Special Investigation Unit on any Human Resources issues as related to risk and compliance.Together with the Senior Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance policies and procedures.Assists in the review and on boarding of FA recruitsQualifications - ExternalEducation and/or ExperienceBachelor’s degree required or equivalent education or experiencePrevious industry experienceActive Series 7, 8 (or 9 and 10), and 63, 65 (or 66)Other licenses as required for role or by management Knowledge/SkillsKnowledge of SEC, FINRA and Firm Compliance Policies and ProceduresEffective written and verbal communication skillsStrong attention to detailAbility to prioritize and resolve complex problems and escalate as necessaryAbility to identify issues and trends in order to anticipate change and provide recommended comprehensive solutions and remediesEvidence...
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