Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice President

Morgan Stanley•Purchase, NY

1d•$115,000 - $190,000

About The Position

Morgan Stanley is a leading global financial services firm. The Wealth Management Conduct, Controls & Governance team (“WM CCG”) within the Wealth Management Client Segment Risk organization is responsible for designing supervisory controls and processes to mitigate risks to clients and the Firm, including those arising from Financial Advisor (“FA”) sales practice misconduct and internal policy violations. WM CCG is seeking to hire a Vice President to join the team focused on supervisory control design and implementation.

Requirements

Ten or more years of experience in implementing technology-based control or process enhancements including translating the concept for a process or control enhancement into business requirements documentation for use by Technology, Platforms and other groups.
Hands-on familiarity with modern AI tools, architectures and implementation concepts including frontier large language models, model context protocols, AI agent and workflow orchestration, retrieval-augmented generation, embeddings, prompt engineering, context windows, tokens, model evaluation, guardrails, and the infrastructure required to integrate AI capabilities into governed business processes.
Demonstrated ability to work effectively with technical teams in a business analyst capacity, across coding, data analysis, technology implementation, control logic development, test-case design, rules-based and model-based back-testing, false-positive and false-negative analysis, issue triage, performance monitoring, and documentation of testing outcomes to support governed deployment of supervisory controls and AI-enabled solutions.
Strong quantitative and analytical skills.
Strong problem-solving and business judgment.
Strong organizational, planning and time management skills.
Ability and willingness to voice ideas, in addition to following instructions.
Ability to lead discussions including with more senior/experienced participants.
High motivation and energy with ability to develop strong working relationships.
A calm demeanor and ability to work on multiple tasks at one time.
Self-starter with a strong attention to detail.
Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment.
Proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau.
Bachelor's Degree or equivalent.

Responsibilities

Working with senior leaders on the CCG team to further enhance MSWM’s supervisory control framework.
Assessment of the efficiency and effectiveness of existing controls and processes.
Identification of enhancements to controls including AI solutions where appropriate.
Prioritization of control enhancement initiatives.
Implementation of control enhancements.
Coordination with key stakeholders in Technology, Platforms Legal, Compliance, WM Risk and other groups in furtherance of the design and implementing of control enhancements.
Coordination with colleagues in CCG and Technology to define, draft, test, validate and finalize control design requirements and project management of the implementation of the requirements.