Margins Risk Analyst, AVP

The Business Control & Support Team manages 1st Line Operational Risk / Business Control Unit (BCU) functions for WM Platforms, including Digital Direct Securities-Based Lending Risk Management, Digital Direct Securities-Based Lending, Traded Products Risk and Middle Office Product Management, Digital Direct Order Room and Digital Direct International Retail Brokerage.

Summary
We are seeking to hire a Risk Analyst with a primary role of executing and managing Risk Oversight for our Retail Self-Directed line of business with a strong understanding of Portfolio Margin Accounts. This will include researching and resolving complex account issues related to Margin Lending, Balances and Buying Power review, Option Strategy risk analysis, account liquidations, and any other trading related activities across futures, equities, and options. The desired candidate must be experienced in solving complex equity, index, and margin related issue, taking appropriate market action to mitigate risk, and conveying findings and recommendations for process improvements to a diverse audience.

The candidate must be self-motivated and willingly to accept new responsibilities as the group and the organization grows. Systems experience is a plus but is not explicitly required.

Responsibilities

• Initiate, review, or manage exceptions to the firm's current margin policy & framework
• Daily monitoring of market and impact on firm's book of business
• Daily monitoring and liquidation of at-risk customer accounts
• Act on at-risk accounts for reasons relating to firm policy, market conditions, or individual account behavior
• Monitoring and oversight of client margin accounts for trading and concentration risk
• Collect research and analyze client account information including futures, high value equities, and complex options to determine margin call and risk.
• Execute on various risk-based stress models at the client account level and market risk factors
• Support customer service in identifying, managing, and resolving client margin account issues; supplement customer interaction with specific recommendations and explanation
• Coordinate sell out decisions with the Margin Operations team that provide the least financial loss to the client in high pressure and fast-moving market conditions
• Escalate risk related issues to various heads of business
• Participate in cross-functional initiatives aimed at strengthening trade risk management, formulating policy in response to changes in the market and the marketplace, and improve systems used to manage risk and execute client orders
• Provide regular reporting to direct management
• Contribute positively to the client experience by developing and sharing new trade and risk management ideas to the broader organization

Requirements

• 3-5+ years of work experience in the broker-dealer space, preferably in Equity, Options & Futures markets
• Strong understanding of margin, balances and buying power, Portfolio Margin, and online brokerage operations considered valuable
• Providing constructive feedback
• Willingness and desire to learn new skills related to all aspects of brokerage operations to advance within the firm
• Working regulatory knowledge of FINRA 4210, and Federal regulations T and U
• Ability to clearly articulate complex ideas to any audience within the organization
• Solid understanding of trading strategies, and the financial market landscape
• Detail-oriented and have a proactive approach to identifying risk
• Strong understanding of equity and index option strategy, pairing logic, universal spread logic, pricing, and market mechanics
• Willingness to accept occasional travel, as needed
• Flexible work hours are essential.
• Pays close attention to detail

Education, Certification, Training

• A bachelor's degree in business or finance or equivalent business experience
• Series 7 and 63 required

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Salary range for the position: $85,000 and $140,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and X Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Client-provided location(s): Chicago, IL

Job ID: Morgan-PT-JR023281

Employment Type: FULL_TIME

Posted: 2025-10-28T18:35:03