Job description

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 an Assistant Vice President to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President will work closely with Business Partners, as well as Legal and Compliance colleagues on a variety of complex initiatives. The Assistant Vice President will provide regulatory guidance on firm generated communications with the public which includes, but is not limited to, verification of compliance with governing regulations, internal policies, and resolution of issues. The Assistant Vice President will be responsible for final approval of certain communications with the public including, but not limited to, social media, websites, and variance form of correspondence. The successful candidate’s responsibilities will include, but not be limited to, the following: • Review and approval of communications which focuses on increasing wallet share of existing clients who are underutilizing / unaware of existing Firm offerings. • Filing retail communications with FINRA’s Advertising Regulation Department as needed, responding to any comments and implementing revisions potentially arising from FINRA review. • Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc. • Provide guidance to businesses’ inquiries of any issues regarding policies and procedures with their materials. • Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments. • Assist business partners with audits, targeted assessments and regulatory exams. • Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc. • Seek advice and/or share issues and concerns with Team members and provide constructive feedback. • In consultation with the business, identify high-impact AI use cases, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows. • Assist in the design and buildout of AI/LLM-enabled capabilities to improve efficiency and consistency in supervisory processes, while maintaining adherence to firm and regulatory requirements. Qualifications • 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 having two years of experience reviewing and approving communications with the public. • Proficient understanding of areas of industry and regulatory focus, e.g., ESG • Excellent analytical ability while consistently demonstrating strong attention to detail • Excellent listening, interpersonal, communicative 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 or part of a team 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 • Prior hands-on experience executing AI/ML solutions in operational workflows, demonstrating the ability to translate AI capabilities into practical business applications. • Experience partnering with technology teams on AI tool integration and governance. Required Education, Licenses and Qualifications • Active FINRA Licenses: Series 7 and Series 24 • An undergraduate degree or equivalent professional experience • Microsoft and Adobe Suite WHAT YOU CAN EXPECT FROM MORGAN STANLEY: At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. 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 morganstanley.com into your browser. New York: Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs. Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences. For more information, please visit : morganstanley.com .

Requirements

Must-haves

The successful candidate’s responsibilities will include, but not be limited to, the following:
Review and approval of communications which focuses on increasing wallet share of existing clients who are underutilizing / unaware of existing Firm offerings.
Filing retail communications with FINRA’s Advertising Regulation Department as needed, responding to any comments and implementing revisions potentially arising from FINRA review.
Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc.
Provide guidance to businesses’ inquiries of any issues regarding policies and procedures with their materials.
Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments.
Assist business partners with audits, targeted assessments and regulatory exams.
Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc.
Seek advice and/or share issues and concerns with Team members and provide constructive feedback.
In consultation with the business, identify high-impact AI use cases, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows.
Assist in the design and buildout of AI/LLM-enabled capabilities to improve efficiency and consistency in supervisory processes, while maintaining adherence to firm and regulatory 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 having two years of experience reviewing and approving communications with the public.
Proficient understanding of areas of industry and regulatory focus, e.g., ESG
Excellent analytical ability while consistently demonstrating strong attention to detail
Excellent listening, interpersonal, communicative 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 or part of a team 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
Prior hands-on experience executing AI/ML solutions in operational workflows, demonstrating the ability to translate AI capabilities into practical business applications.
Experience partnering with technology teams on AI tool integration and governance.
Required Education, Licenses and Qualifications
Active FINRA Licenses: Series 7 and Series 24

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