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Morgan Stanley

Manages investments and advises on financing

Market Risk and Business Service Officer

Risk ManagementPosted on Nov 11
Full-timeCharlotte, NC, USANo salary listed

About the Job

Requirements

  • A bachelor's degree or equivalent education/experience is required; an advanced degree is preferred.
  • Significant leadership experience in risk, supervision, service, and/or business controls within a complex field organization.
  • Active registrations consistent with senior leadership expectations, such as Series 7 and applicable supervisory/principal registrations; Series 63/65/66 as applicable; other licenses as required.
  • Proven ability to lead managers and execute through multiple layers.
  • Strong knowledge of supervisory practices, risk and controls, and regulatory expectations, with sound judgment and escalation discipline.
  • Strong change management capability and demonstrated ability to modernize operating models and improve efficiency using technology, including AI and automation where appropriate.
  • Ability to travel within the Region and to corporate offices as needed.

Responsibilities

  • Lead the Market’s integrated risk and service organization, set priorities, and deliver consistent outcomes across the Market.
  • Directly lead and develop Risk Officers, Business Service Officers, and Service Managers, reinforcing accountability, coaching, and performance expectations.
  • Establish and maintain a client-first service and guardianship culture, reinforcing consistent behaviors and standards.
  • Ensure appropriate supervisory coverage and support supervisory planning within the Market; escalate needs and risks appropriately.
  • Simplify and standardize Market operating routines to reduce friction for field teams and clients through clear roles, consistent workflows, and fewer handoffs.
  • Identify and execute opportunities to improve efficiency and quality, including eliminating duplicative steps, improving queue management, and automating repeatable tasks.
  • Support responsible use of AI-enabled capabilities to improve triage, documentation quality, exception management, and insight generation while following controls, approvals, and governance.
  • Oversee execution of supervisory and risk routines, including conduct, sales practice, operational risk, and supervisory risk; ensure timely escalation and resolution of issues.
  • Drive control discipline and documentation standards and reinforce audit-ready practices in day-to-day execution.
  • Partner with the Market Executive to manage and resolve escalated risk issues; serve as a key partner to the Special Investigations Unit and Human Resources.
  • Present the status of risk matters to senior Risk Governance committees and senior risk stakeholders.
  • Manage and track defined budgets, such as compensation and travel and entertainment.
  • Lead Market readiness for audits, examinations, and branch reviews; partner with regional and central teams on issue management, remediation, and sustainment.
  • Partner with Market leadership to align priorities, resolve issues, and continuously improve the client and employee experience.
  • Cascade regional and national policy changes, priorities, and best practices; ensure adoption and consistent execution.
  • Build relationships with Human Resources and key partners to support talent development, headcount needs, and performance management.
  • Maintain a disciplined management cadence, including metrics, issue logs, and operational reviews, to drive performance and continuous improvement.
  • Support approvals and escalations as required, applying sound judgment and appropriate risk and control considerations.

Desired Qualifications

  • An advanced degree.

About the Company

Morgan Stanley

Manages investments and advises on financing

Morgan Stanley advises companies and governments on financing and manages investments for institutions, individuals, and families. Its business combines investment banking and securities trading with wealth management and an asset-management division that invests across public and private markets. Bankers arrange stock and bond sales and advise on mergers, while advisors build client portfolios and fund managers invest money under agreed strategies. The firm earns advisory and management fees, trading revenue, commissions, and interest from lending and deposits. Morgan Stanley was founded as a partnership in 1935 and is headquartered in New York City.

Company size
10,001+
Company stage
IPO
Headquarters
New York City, New York
Founded
1935

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