VP, AI Compliance Officer

Morgan Stanley • Addison, TX

2d • $108,000 - $185,000

About The Position

We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and governance for Artificial Intelligence initiatives, including Generative AI, partnering closely with senior business, legal, risk, and technology stakeholders to enable responsible innovation while meeting regulatory and firm requirements. In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Innovation, Platforms and Communications Compliance team, which is responsible for providing compliance advice, governance, and oversight for analytics, data, artificial intelligence, generative AI, and platforms activities within Wealth Management. Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet). At Morgan Stanley, we advise, originate, trade, manage and distribute capital for people, governments and institutions, always with a standard of excellence and guided by our core values. Morgan Stanley is dedicated to providing first-class service to our clients, in a way that reflects our commitment to creating a more sustainable future and fostering stronger communities around the world. In each line of business, we strive to demonstrate our belief in the power of transformative thinking, innovative strategies and leading-edge solutions—and in the ability of capital to work for the benefit of all society.

Requirements

• Ability to provide compliance advisory support in a second line of defense role for platforms artificial intelligence, and Generative AI initiatives.
• Understanding of regulatory requirements, industry standards, and firm policies related to Artificial Intelligence, predictive analytics, and communications with the public.
• Experience reviewing and assessing traditional Artificial Intelligence, Generative AI and Large Language Models.
• Experience collaborating with business, legal, risk, technology, and model risk management stakeholders.
• Strong analytical, organizational, and attention-to-detail skills, with the ability to manage multiple priorities in a fast-paced environment.
• Demonstrate capacity to work independently and make informed decisions.
• Bachelor's degree in Business, Computer Science, Engineering, Statistics, Mathematics, Risk Management, or a related field.
• Typically, 8+ years' relevant experience would generally be expected to find the skills required for this role

Responsibilities

• Advise Wealth Management Generative AI and Platforms teams on AI governance, strategy, data usage, and oversight requirements.
• Review Artificial Intelligence and Machine Learning models and Generative AI, to assess compliance with regulatory rules related to Artificial Intelligence, Consumer Protection, Standards of Care, and Communications with the Public.
• Assess AI against heightened risk considerations, including conflicts of interest, and recommend appropriate controls and mitigations.
• Establish and support ongoing monitoring and testing controls in coordination with Compliance Monitoring and Testing teams.
• Collaborate with Policy and Training teams to draft, implement, and maintain compliance policies and training governing the use of AI technologies.
• Participate in Wealth Management, Firmwide, and Compliance governance committees and forums.
• Prepare management reporting, metrics, and dashboards to inform senior management of key initiatives, risks, and control effectiveness.
• Support regulatory inquiries, internal audits, and examinations (e.g., SEC, FINRA, Internal Audit), including remediation and post-exam action plans.

What This Job Offers

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