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Risk Officer

Russell Tobin
Dayton, NJ
  • Expired: over a month ago. Applications are no longer accepted.
Job Description

Role Responsibilities

  • Primary responsibility for all risk, supervisory, and compliance functions for one or more groups of Support personnel and multiple MFO clients
  • Facilitates any supervisory inquiry or process that requires escalation
  • Focuses on business ethics and regulatory and compliance practices
  • Provides coaching and guidance on policies and procedures across IIS 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
  • Specifically supervise all money movement and trade execution activities within the IIS branch inclusive of transactions executed on the Fund Services and outside Custodial platforms
  • Review escalations from the branch in regards to NAV or cash breaks found by Fund Services processing

Risk Management/Compliance/Legal

  • Monitors and implements procedures to manage all facets of risk, including data security
  • Facilitates 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
  • Ensures appropriate supervisory coverage is maintained at all times
  • Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensuring the Branch has 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 Senior Client Relationship Officer to monitor people risk, and ensures appropriate action is taken
  • In partnership with the Investment Officer, responsible for proactive client contact in determining suitability and managing risk
  • Primary source for intelligence on risk in regard to clients and personnel


Qualifications - External

Education and/or Experience 

  • Bachelor’s degree required or equivalent education
  • Previous industry management experience
  • Active Series 7, 8, 66 (or 63 and 65), 24, and 9/10
  • Other licenses as required for role or by management
  • Experience with multi-family offices and institutions required
  • Experience supporting clients with multiple custodians required


  • 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 Financial Advisors and clients
  • Excellent judgment and the ability to be discreet in all matters
  • Strong work ethic

Russell Tobin


Dayton, NJ


Finance and Insurance

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