H-1B Visa Risk Officer Jobs
H-1B visa jobs for Risk Officers are available at banks, insurance firms, and financial institutions that sponsor international talent for roles requiring a bachelor's degree in finance, economics, or a related field. Each role requires a certified Labor Condition Application before your employer files the I-129 petition with USCIS.
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Get Access To All JobsINTRODUCTION
The 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 Supervision
- Primary 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 Officer
- Focuses on business ethics and regulatory and compliance practices
- Provides coaching and guidance on policies and procedures 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
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
- Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times
- Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market 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 Market Manager and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken
- Responsible for proactive client contact in determining suitability and managing risk
- Active involvement with the region regarding matters presented to the Credit Committee
- Primary source for intelligence on risk in regard to clients and FAs
Administrative
- Works 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 recruits
QUALIFICATIONS - EXTERNAL
Education and/or Experience
- 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
Knowledge/Skills
- 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
Reports to:
Senior Risk Officer
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Job Posting Pay Range
Expected base pay rates for the role will be between $120,000 - $170,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
INTRODUCTION
The 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 Supervision
- Primary 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 Officer
- Focuses on business ethics and regulatory and compliance practices
- Provides coaching and guidance on policies and procedures 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
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
- Together with the Market Manager and Senior Risk Officer, ensures appropriate supervisory coverage is maintained at all times
- Oversees responsibilities outlined in the Branch Supervisory Manual, as well as new policies to ensure the Market 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 Market Manager and Senior Risk Officer to monitor people risk, and ensures appropriate action is taken
- Responsible for proactive client contact in determining suitability and managing risk
- Active involvement with the region regarding matters presented to the Credit Committee
- Primary source for intelligence on risk in regard to clients and FAs
Administrative
- Works 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 recruits
QUALIFICATIONS - EXTERNAL
Education and/or Experience
- 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
Knowledge/Skills
- 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
Reports to:
Senior Risk Officer
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
Job Posting Pay Range
Expected base pay rates for the role will be between $120,000 - $170,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
See all 42+ H-1B Visa Risk Officer Jobs
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Get Access To All JobsTips for Finding H-1B Visa Sponsorship in Risk Officer
Map your degree to the LCA
Your degree must connect directly to risk management duties, not just business in general. Pull the O*NET profile for Financial Risk Specialists to identify the degree fields DOL considers directly related when your employer documents the specialty occupation case.
Target financial institutions with LCA history
Use Migrate Mate to search employers with verified H-1B visa LCA filings for risk and compliance roles. Banks, insurance carriers, and asset managers file far more consistently than fintechs, so prioritize regulated institutions when building your target list.
Clarify multi-site work before filing
If your Risk Officer role requires rotating across branch offices or client worksites, your employer needs a separate certified LCA for each location before you work there. Confirm this with your employer's HR or legal team before accepting an offer structure that includes offsite assignments.
Request a specialty occupation memo early
USCIS scrutinizes Risk Officer petitions when job descriptions include supervisory or generalist language. Ask your employer to prepare a specialty occupation support memo that ties each core duty to specific degree-level knowledge before the I-129 is drafted.
Use OFLC Wage Search to benchmark your offer
Your employer must pay at least the prevailing wage for your SOC code and work location. Run the OFLC Wage Search for the Financial Risk Specialist occupation in your metro area before negotiations close, so you can flag any offer that falls below Level I or II thresholds.
Account for cap timing in your start date
H-1B cap selection rules have changed recently, so confirm the current registration window with USCIS before your employer plans your start date. Status is granted for up to three years initially, with extensions available to a six-year maximum, so your offer letter should reflect realistic start options.
H-1B Visa Risk Officer: Frequently Asked Questions
Does a Risk Officer role qualify as an H-1B specialty occupation?
Yes, Risk Officer roles at regulated financial institutions typically qualify as specialty occupations because they require at minimum a bachelor's degree in finance, economics, mathematics, or a directly related field. The employer must demonstrate in the I-129 petition that the position's duties, not just its title, require that specific theoretical and practical knowledge. Generalist management duties can weaken the case, so the job description should center on degree-dependent analytical and compliance work.
Which employers sponsor H-1B visas for Risk Officer positions?
Banks, insurance carriers, asset managers, and financial holding companies are the most consistent H-1B sponsors for risk roles because they operate under regulatory frameworks that formalize degree requirements. Migrate Mate lists employers with verified H-1B LCA filing history for risk and compliance positions, so you can focus your search on organizations that have already navigated the sponsorship process for this role type.
What documents should I prepare before approaching a Risk Officer employer about H-1B sponsorship?
Prepare official transcripts, a credential evaluation if your degree is from outside the United States, and a professional resume that explicitly links each role you've held to degree-level financial risk duties. If you hold a Financial Risk Manager or Chartered Financial Analyst designation, include those credentials because they reinforce the specialty occupation argument USCIS will evaluate when reviewing the I-129 petition.
Can my employer file a single LCA if I work across multiple office locations as a Risk Officer?
No. Each worksite where you will perform H-1B duties needs its own certified Labor Condition Application filed with DOL before work begins at that location. If your Risk Officer role involves regular travel to branch offices or client sites, your employer must plan LCA filings for each location in advance. Failing to cover a worksite is a compliance violation that can affect your petition status.
How long does H-1B status last for a Risk Officer, and what happens if I change employers?
H-1B status is initially granted for up to three years and can be extended to a maximum of six years. If you change employers, your new employer must file a new I-129 petition before your start date with them, and a new certified LCA is required for each worksite. Under H-1B portability rules, you can begin working for the new employer once the transfer petition is filed, without waiting for USCIS approval, provided your current status is valid.