Marketing & Communications Risk Assistant Vice President

Morgan Stanley•New York, NY

9d•Onsite

About The Position

Morgan Stanley's Wealth Management Risk division is seeking candidates for an Assistant Vice President to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President will work closely with Business Partners, as well as Legal and Compliance colleagues on a variety of complex initiatives. The Assistant Vice President will provide regulatory guidance on firm generated communications with the public which includes, but is not limited to, verification of compliance with governing regulations, internal policies, and resolution of issues. The Assistant Vice President will be responsible for final approval of certain communications with the public including, but not limited to, social media, websites, and variance form of correspondence. The successful candidate’s responsibilities will include, but not be limited to, the following: Review and approval of communications which focuses on increasing wallet share of existing clients who are underutilizing / unaware of existing Firm offerings. Filing retail communications with FINRA’s Advertising Regulation Department as needed, responding to any comments and implementing revisions potentially arising from FINRA review. Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc. Provide guidance to businesses’ inquiries of any issues regarding policies and procedures with their materials. Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments. Assist business partners with audits, targeted assessments and regulatory exams. Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc. Seek advice and/or share issues and concerns with Team members and provide constructive feedback. In consultation with the business, identify high-impact AI use cases, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows. Assist in the design and buildout of AI/LLM-enabled capabilities to improve efficiency and consistency in supervisory processes, while maintaining adherence to firm and regulatory requirements.

Requirements

Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
Prior experience at a broker-dealer and Registered Investment Adviser ideally having two years of experience reviewing and approving communications with the public.
Proficient understanding of areas of industry and regulatory focus, e.g., ESG
Excellent analytical ability while consistently demonstrating strong attention to detail
Excellent listening, interpersonal, communicative and persuasion skills
Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment
Ability to follow specific directions and function independently or part of a team with minimal oversight
Ability to exercise prudent judgment as it applies to resolving complex issues
Ability to work collaboratively with senior levels of management within the business, Legal, Risk, Compliance, Platform, Technology, and third-party vendors
Prior hands-on experience executing AI/ML solutions in operational workflows, demonstrating the ability to translate AI capabilities into practical business applications.
Experience partnering with technology teams on AI tool integration and governance.
Active FINRA Licenses: Series 7 and Series 24
An undergraduate degree or equivalent professional experience
Microsoft and Adobe Suite

Responsibilities

Review and approval of communications which focuses on increasing wallet share of existing clients who are underutilizing / unaware of existing Firm offerings.
Filing retail communications with FINRA’s Advertising Regulation Department as needed, responding to any comments and implementing revisions potentially arising from FINRA review.
Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc.
Provide guidance to businesses’ inquiries of any issues regarding policies and procedures with their materials.
Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments.
Assist business partners with audits, targeted assessments and regulatory exams.
Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc.
Seek advice and/or share issues and concerns with Team members and provide constructive feedback.
In consultation with the business, identify high-impact AI use cases, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows.
Assist in the design and buildout of AI/LLM-enabled capabilities to improve efficiency and consistency in supervisory processes, while maintaining adherence to firm and regulatory requirements.