Morgan Stanley’s Wealth Management Risk division is currently seeking candidates for a Vice President to join the Risk Communications Central Review Unit. In this capacity, the Vice President will work closely with Business Partners, as well as Legal and Compliance colleagues on a variety of complex initiatives. The 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 Vice President will be responsible for final approval of certain communications with the public including but not limited to retail communication, social media/website content, and various forms 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

• Experience delivering, integrating, or operationalizing AI/ML or LLM-enabled solutions in real-world workflows
• Active FINRA Licenses: Series 7 and Series 24 or Series 9/10
• An undergraduate degree or equivalent professional experience
• Microsoft Office Tools and Adobe Suite