Marketing & Communications Risk Assistant Vice President

Morgan Stanley • Jersey City, NJ

1d • $85,000 - $140,000

About The Position

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture. Morgan Stanley’s Wealth Management Risk division is currently seeking candidates for an Assistant Vice President position to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President reside within the first line and work closely with Business Partners, Legal and Compliance colleagues on a variety of complex marketing initiatives. The Assistant Vice President will provide firm and regulatory guidance concerning both public and internal communications which includes, but is not limited to, verification of compliance with governing regulations, internal policies, and resolution of issues. The successful candidate’s responsibilities will include, but not be limited to, the following: Review and final supervisory approval of communications (both external and internal) including marketing which introduces new products and/or services to clients and/or prospects. Filing retail communications with FINRA’s Advertising Regulation Department, 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. 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.

Requirements

• Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
• Prior experience concerning the review of communications for complex products and services with an emphasis on self-directed trading. Experience with ETRADE is a plus.
• Product knowledge including, but not limited to, mutual funds, exchange traded funds, stocks, bonds, options, futures and SMAs.
• Prior Risk, Compliance or Regulatory experience for a minimum of 2 years combined focusing specifically on communications with the public.
• Proficient understanding of areas of industry and regulatory focus, e.g., ESG and cryptocurrencies.
• 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, and Compliance teams.
• Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4.
• Undergraduate degree or equivalent professional experience
• Microsoft and Adobe Suite

Nice To Haves

• Prior experience concerning the review of communications for complex products and services with an emphasis on self-directed trading. Experience with ETRADE is a plus.

Responsibilities

• Review and final supervisory approval of communications (both external and internal) including marketing which introduces new products and/or services to clients and/or prospects.
• Filing retail communications with FINRA’s Advertising Regulation Department, 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.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees