VP, AI Compliance Officer

Morgan Stanley•Baltimore, MD

2d•$95,000 - $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.

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.

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.

Benefits

Medical
Prescription Drug
Dental
Vision
Health Savings Account
Dependent Day Care Savings Account
Life Insurance
Disability and Other Insurance Plans
Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually)
10 Paid Holidays
401(k)
Short/Long Term Disability