[Remote] E*TRADE Risk Officer

Note: The job is a remote job and is open to candidates in USA. Morgan Stanley is a global financial services firm that provides investment banking, securities, investment management, and wealth management services. The Risk Officer supports E*TRADE Premium & Specialty Client and Emerging Wealth Solutions by executing a broad range of supervisory, compliance, and risk responsibilities to maintain a consistent control environment.


Responsibilities

  • Own day-to-day risk, supervisory, and compliance oversight for E*TRADE Self‑Directed and covered client segments, including E*TRADE Premium & Special Client (ETPS) and Emerging Wealth Solutions (EWS)
  • Maintain a strong control environment by promoting ethical business practices and ensuring adherence to applicable laws, regulations, and firm policies and procedures
  • Manage and facilitate supervisory inquiries and escalation requests from ETPS & EWS by partnering with the Senior Risk Officer (SRO), Associate/Regional Risk Officer (ARRO/RRO), and business management to drive timely resolution
  • Provide coaching and guidance to Relationship Managers, Team Leads, and Managers on supervisory expectations, policy interpretation, and procedural requirements to strengthen risk awareness and compliance culture
  • Ensure supervisory approvals and oversight case escalations are executed accurately and within required timeframes, validating that supervisory actions, documentation, and follow-up meet policy standards
  • Support compliance examinations and internal audit activities, including readiness planning, evidence collection, and timely response coordination
  • Oversee ongoing risk monitoring and control execution across key risk areas (including operational risk, conduct risk, and data/security-related risk) and implement enhancements as needed
  • Drive consistent communication of Morgan Stanley Wealth Management policies and regulatory expectations to service and supervisory teams, ensuring updates are understood and operationalized
  • Partner with Legal and Compliance on escalations, coordinating communications, documentation, and response support as appropriate
  • Ensure continuous and appropriate supervisory coverage, working with Management, Site Leaders, and the Senior Risk Officer to maintain coverage models and back-up plans
  • Oversee adherence to the E*TRADE Self‑Directed Compliance and Supervisory Manual and support implementation of new policies/standards to ensure EWS and ETPS processes remain current and effective
  • Monitor 'people risk' indicators (e.g., training, conduct trends, policy adherence), escalating concerns and partnering with leadership to ensure appropriate corrective action
  • Co-facilitate compliance and supervisory training, in partnership with the Senior Risk Officer, to ensure colleagues understand and apply Wealth Management compliance policies and procedures
  • Support onboarding risk controls for new hires, including Employee Investing/Activities Compliance (OBI/OBA approvals, private investment reviews, Monthly Employee Dashboard checks, and early-supervision routines)
  • Conduct risk-based oversight reviews of service center activities—including referrals, line-of-credit monitoring for regulatory compliance, account restrictions, disbursements and credits, trade/crypto supervision, and other control reviews as needed

Skills

  • 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
  • Strong understanding of SEC/FINRA Regulatory requirements and knowledge of internal compliance policies and supervisory procedures
  • Clear, concise written and verbal communicator able to deliver guidance, training, and escalation updates to varied audiences
  • Detail-oriented with strong organizational skills; able to manage multiple priorities accurately in a deadline-driven environment
  • Applies structured analysis to identify issues/trends and drive timely, well-documented resolution and remediation, including escalation when needed
  • Demonstrated leadership and/or supervisory experience; able to partner effectively with business leadership and control partners
  • Exercises strong judgment and discretion in all business risk matters, including sensitive supervisory and conduct-related topics

Company Overview

  • Morgan Stanley is a financial services institution that delivers capital management, investment banking, and advisory solutions. It was founded in 1935, and is headquartered in New York, New York, USA, with a workforce of 10001+ employees. Its website is

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