Governance and Controls Vice President

Morgan Stanley•Tampa, FL

1d•Onsite

About The Position

Morgan Stanley is seeking a Governance/Controls Management VP in the ETRADE, MSVA & WSG Risk Officer team to support the Risk Management team. This role will assist management teams in executing the conduct governance strategy and serve as a key escalation point for complex AI and Control matters, including creation, retention, archive, and decommission planning. The position is part of the Wealth Management Client Segment Risk team, an in-business risk unit focused on assessing and managing risks related to Financial Advisors and the Self-directed platform within Wealth Management. The ETRADE, MSVA & WSG Risk Officer team consists of centralized Risk Officers who monitor potential sales practices, suitability, and regulatory compliance issues. Morgan Stanley, a global leader in financial services since 1935, operates in over 40 countries and is known for its innovation and commitment to clients and communities.

Requirements

6+ years' experience in the financial services industry in risk and supervisory experience.
Advanced understanding of controls.
Bachelor’s degree.
Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66).
Detail-oriented with the ability to interpret policy documents.
Excellent written and verbal communication skills.
Ability act with autonomy and manage multiple requests and prioritize effectively.
Proficiency in Microsoft 365 (Outlook, Teams).
Ability to interact with senior management and drive client satisfaction.

Responsibilities

Serve as an intermediate escalation point for EWS & ETPS Governance inquiries and offer guidance to stakeholders and team members to resolve complex issues.
Monitor the ETRADE, MSVA & WSG Risk Officer team’s performance, production and throughput, analyzing progress toward achieving quarterly and annual goals and ensuring timely delivery and accurate metrics reporting.
Ensure timely and accurate communication of controls, policies, and decommissioning requirements.
Act as a liaison between business units, governance teams, and the Client Segment Risk organization at large helping interpret policy and escalate complex cases when necessary.
Ensure processes and controls that are required to ensure ongoing compliance and ensure that their implementation is appropriately tracked.
Assist with Senior Risk Officer Coverage.
Assist in the creation of AI Agents for Risk Officers use.
Leading continuous improvement and collaborating to deliver new controls solution.
Conducting awareness training with functional leaders and risk officers.