Strong knowledge of SEC, FINRA Rules and Regs including Investment and Product Knowledge Knowledge of applicable laws and regulations pertaining to senior or vulnerable adult matters preferred Effective written and verbal communication skills 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 Ability to organize and prioritize tasks 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 quantitative and analytical skills High motivation and energy with ability to develop strong working relationships A calm demeanor and ability to work on multiple tasks at one time Self-starter with a strong attention to detail Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment Excellent problem-solving and business judgment Strong organizational, planning and time management skills Ability and willingness to voice ideas, in addition to following instructions Proficiency in MS Office, PowerPoint, Excel. • Fills coverage and/or resource gaps resulting from temporary Risk Officer attrition, shortages (e.g., turnover, resignations, etc.) • Assists Markets during periods of high-volume supervisory alerts • Manages and responds to senior or vulnerable adult, financial exploitation, diminished capacity, or other concerns affecting Morgan Stanley's senior or vulnerable clients • Facilitates any supervisory inquiry or process that requires escalation from the Senior Risk Officer (SRO) and/or the Associate/Regional Risk Officer (ARRO/RRO) • Provides coaching, guidance, and education to Financial Advisors on policies and procedures to promote risk awareness and a compliant environment • Interviews clients where necessary, and collaborates with internal partners in Legal, Compliance, Risk and Business to formulate adequate responses to close matters and/or pending supervisory alerts • Liaises with the Legal and Compliance Division to respond to customer complaints and litigation • Supports the preparation for and response to all branch exams and internal audits, and ensures that any audit findings are appropriately responded to and remediated.