Morgan Stanley

Governance and Controls Vice President

Morgan Stanley • $150K — $180K *
Gilbert, AZ 85234In-Person
Finance & Insurance
5 - 7 years of experience
3 weeks ago
Job Overview by Ladders

Qualifications

  • 6+ years experience in the financial services industry, specifically in risk and supervisory roles.
  • Advanced understanding of controls within financial regulatory frameworks.
  • Bachelor's degree required.
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66) licenses.
  • Detail-oriented with strong skills in interpreting policy documents.
  • Excellent written and verbal communication skills.
  • Proficiency in Microsoft 365 applications.

Responsibilities

  • Serve as an escalation point for Governance inquiries, providing guidance on complex issues.
  • Monitor team performance and ensure timely delivery of metrics reporting to management and stakeholders.
  • Communicate controls, policies, and decommissioning requirements accurately.
  • Act as a liaison to interpret policy and escalate complex cases among governance teams.
  • Track the implementation of compliance processes and controls effectively.
  • Assist Senior Risk Officer and collaborate on coverage matters.
  • Help create AI solutions for Risk Officers' use.

Benefits

  • Comprehensive employee benefits and perks in the industry.
  • Opportunities for career movement within the organization.
  • Supportive work environment fostering collaboration and creativity.
  • Company values centered around client-first, integrity, and diversity.
Full Job Description
We're seeking someone to join our team as an Governance/Controls Management VP in the E*TRADE, MSVA & WSG Risk Officer team to support the Risk Management team in assisting management teams execute the conduct governance strategy, while serving as a key escalation point for complex AI and Control matters such as creation, retention, archive and decommission planning.

Join our Wealth Management Client Segment Risk team, an integral in-business risk unit dedicated to assessing and managing risks associated with Financial Advisors and the Self-directed platform within Wealth Management. The E*TRADE, MSVA & WSG Risk Officer team comprises centralized Risk Officers who oversee a comprehensive suite of controls monitoring potential sales practices, suitability, and regulatory compliance issues.

What you9ll do in the role:
  • Serve as an intermediate escalation point for EWS & ETPS Governance inquiries and offer guidance to stakeholders and team members to resolve complex issues.
  • Monitor the E*TRADE, MSVA & WSG Risk Officer team9s performance, production and throughput, analyzing progress toward achieving quarterly and annual goals and ensuring timely delivery and accurate metrics reporting Management leadership and internal stakeholders.
  • Ensure timely and accurate communication of controls, policies, and decommissioning requirements.
  • Act as a liaison between business units,governance teams, and the Client Segment Risk organization at large helping interpret policy and escalate complex cases when necessary.
  • Ensure processes and controls that are required to ensure ongoing compliance and ensure that their implementation is appropriately tracked.
  • Assist with Senior Risk Officer Coverage
  • Assist in the creation of AI Agents for Risk Officers use
  • Leading continuous improvement and collaborating to deliver new controls solution
  • Conducting awareness training with functional leaders and risk officers.
What you9ll bring to the role:
  • 6+ years9 experience in the financial services industry in risk and supervisory experience.
  • Advanced understanding of controls
  • Bachelor9s degree
  • Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
  • Detail-oriented with the ability to interpret policy documents.
  • Excellent written and verbal communication skills.
  • Ability act with autonomy and manage multiple requests and prioritize effectively
  • Proficiency in Microsoft 365 (Outlook, Teams).
  • Ability to interact with senior management and drive client satisfaction

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 that9s differentiated and we9ve 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 - aren9t just beliefs, they guide the decisions we make every day to do what9s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you9ll 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. There9s 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.

About Morgan Stanley

Morgan Stanley Investment Management are active managers of capital, working to outperform the market and deliver results for their clients. Morgan Stanley Investment Management's long-tenured professionals apply their experience and expertise across public and private markets, in single-sector, multi-asset and custom solutions.

Morgan Stanley Careers

Joining Morgan Stanley today means becoming part of a global team dedicated to strengthening communities, pioneering innovation, and fostering diversity. As a leading global financial services firm, Morgan Stanley offers unparalleled job opportunities, career growth, and a culture of leadership that together create an exceptional employment experience. Work You’ll Do At Morgan Stanley, you will collaborate with knowledgeable professionals to drive innovation and deliver solutions in financial services. Our team is composed of diverse, talented individuals who bring their unique skills and perspectives to work every day, setting the standard for leadership in the global market. Morgan Stanley is not just a company; it's a place where ambitious, creative, and skilled individuals can build a rewarding career. Here, you can experience the benefits of a vibrant culture dedicated to professional growth and diversity training. Internship Programs Kickstart your career with Morgan Stanley’s internship programs. These positions offer invaluable industry insights and professional experience to students and recent graduates. Interns at Morgan Stanley gain hands-on experience, working alongside seasoned experts in a dynamic, supportive environment. Innovation and Professional Growth We believe in the power of innovation to solve complex problems and encourage our team to think differently and act boldly. Morgan Stanley supports your career development through comprehensive training, development programs, and leadership workshops, ensuring that every employee has the tools they need to succeed. Join Our Team Explore the various job opportunities at Morgan Stanley, from entry-level positions to executive roles. We are hiring individuals who are passionate about finance and eager to contribute to a team that values integrity, excellence, and a forward-thinking mindset. Enhance your skills through our networking events, mentorship opportunities, and ongoing professional development. Stay Connected Keep up to date with the latest from Morgan Stanley Careers by subscribing to our job alert emails. Tailor your preferences to receive updates about new postings, career tips, and exclusive insights from our team leaders. Apply Now Ready to take the next step in your career? Search open positions that match your skills and interests on the Morgan Stanley Jobs portal. Prepare your resume, refine your interview techniques, and join a company that values innovation and leadership. At Morgan Stanley, we’re not just building careers—we’re developing leaders. Discover how far your talents can take you by joining our team today.
Learn more about Morgan Stanley
Size
77,000 employees
Market Cap
$144.1 billion
Industry
Finance & Insurance
Net Income
$10.9 billion
Founded
1935
5 Year Trend
+10%
Revenue
$52 billion
NASDAQ
MS
* Ladders Estimates

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