Risk Communications Central Review Unit-Vice President

Morgan Stanley • New York, NY

2d • $120,000 - $165,000

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 a Vice President position to join the Risk Communications Central Review Unit team. In this capacity, the Vice President will lead and manage a team of Risk Principals and work closely with Financial Advisors, Risk Officers, Legal and Compliance colleagues on a variety of communications and marketing submissions. The Vice President will provide guidance including, but 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:

Requirements

• Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
• Proficient understanding of areas of industry and regulatory focus, i.e., books and records, ESG, cryptocurrencies, etc.
• Prior experience reviewing communications with the public including the use of workflow management systems.
• Excellent analytical ability while consistently demonstrating strong attention to detail including follow-up on numerous concurrent matters that may arise.
• Strong leadership skills to effectively manage a geographically disbursed team.
• Accountability for the delegation of work assigned to delegates while promoting an inclusive and positive team environment.
• Excellent listening, interpersonal, communication 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 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.
• FINRA Series 7 and Series 24.
• An undergraduate degree or equivalent professional experience
• Microsoft and Adobe Suite

Responsibilities

• Review and approval of retail communications and advertisements submitted by top-producing Financial Advisors.
• Ability to suggest edits and provide feedback to content submitters that is actionable and easily understood.
• Consult frequently and communicate effectively with key stakeholders concerning potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc.
• Responding to regulatory exams, inquiries, internal audits and targeted assessments.
• Seek advice and/or share issues and concerns with Team members and provide constructive feedback and coaching.
• Analyze existing processes, workflows and delegation of work to promote efficiency while effectively managing risk.

What This Job Offers

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