Marketing & Communications Risk Assistant Vice President
About The Position
Morgan Stanley’s Wealth Management Risk division is seeking an Assistant Vice President/Vice President to join its Risk Communications Central Review Unit. The role works closely with business partners and Legal and Compliance colleagues to provide regulatory guidance on firm-generated communications with the public, verify compliance with applicable regulations and internal policies, and resolve issues. The Vice President is responsible for final approval of certain public communications, including retail communications, social media and website content, and correspondence. The role also supports the development and integration of AI-enabled tools into risk and supervisory workflows. In consultation with the business, the successful candidate will identify high-impact AI use cases, develop product strategies, and oversee delivery and integration while maintaining 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, two years of experience reviewing and approving communications with the public.
- Proficient understanding of industry and regulatory focus areas, such as ESG.
- Excellent analytical ability and strong attention to detail.
- Excellent listening, interpersonal, communication, and persuasion skills.
- Strong organizational, planning, and time-management skills, with the ability to manage competing priorities in a fast-paced, dynamic environment.
- Ability to follow specific directions and work independently or as part of a team with minimal oversight.
- Ability to exercise prudent judgment when resolving complex issues.
- Ability to collaborate with senior management and colleagues in Business, Legal, Risk, Compliance, Platform, Technology, and third-party vendors.
- Hands-on experience executing AI/ML solutions in operational workflows and translating AI capabilities into practical business applications.
- Experience partnering with technology teams on AI tool integration and governance.
- Experience delivering, integrating, or operationalizing AI/ML- or LLM-enabled solutions in real-world workflows.
- Active FINRA Series 7 license, with the ability to obtain Series 24 or Series 9/10 within 90 days of employment.
- An undergraduate degree or equivalent professional experience.
- Proficiency with Microsoft Office tools and Adobe Suite.
Responsibilities
- Review and approve communications focused on increasing wallet share among existing clients who may be underutilizing or unaware of Firm offerings.
- File retail communications with FINRA’s Advertising Regulation Department as needed, respond to comments, and implement revisions arising from FINRA review.
- Consult with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, and platforms.
- Provide guidance on business inquiries concerning policies and procedures for materials.
- Assist with responses to regulatory examinations and inquiries, internal audits, and targeted assessments.
- Assist business partners with audits, targeted assessments, and regulatory examinations.
- Escalate issues concerning business initiatives, projects, materials, submitters, and reviewers as needed.
- Seek advice from and share issues and concerns with team members, and provide constructive feedback.
- Identify high-impact AI use cases with the business, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows.
- Assist in designing and building AI/LLM-enabled capabilities to improve the efficiency and consistency of supervisory processes while meeting firm and regulatory requirements.
Benefits
- Comprehensive employee benefits and perks.
- Commission earnings, incentive compensation, discretionary bonuses, and other short- and long-term incentive packages may be included depending on the position.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
