Marketing & Communications Risk Assistant Vice President

About the role

Morgan Stanley’s Wealth Management Risk division is seeking an Assistant Vice President to join the Risk Communications Central Review Unit. In this capacity, you will work closely with Business Partners, Legal, and Compliance colleagues on complex initiatives, providing regulatory guidance on firm‑generated communications with the public and holding final approval authority for certain communications such as social media, websites, and various correspondence.

Responsibilities

• Review and approve communications aimed at increasing wallet share of existing clients who are under‑utilizing or unaware of firm offerings.
• File retail communications with FINRA’s Advertising Regulation Department as needed, respond to comments, and implement revisions 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 business inquiries regarding policies and procedures related to their materials.
• Assist with responding to regulatory exams, inquiries, internal audits, and targeted assessments.
• Support business partners with audits, targeted assessments, and regulatory exams.
• Escalate issues concerning business initiatives, projects, materials, submitters, reviewers, etc., as needed.
• Seek advice and share issues and concerns with team members, providing 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 build‑out 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 with at least two years reviewing and approving public communications.
• Proficient understanding of industry and regulatory focus areas, e.g., ESG.
• Excellent analytical ability with strong attention to detail.
• Outstanding listening, interpersonal, communication, and persuasion skills.
• Strong organizational, planning, and time‑management skills to multitask competing priorities in a fast‑paced environment.
• Ability to follow specific directions and function independently or as part of a team with minimal oversight.
• Prudent judgment in resolving complex issues.
• Collaborative ability to work with senior management, Legal, Risk, Compliance, Platform, Technology, and third‑party vendors.
• Hands‑on experience executing AI/ML solutions in operational workflows and translating 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.
• Proficiency with Microsoft and Adobe Suite.

Pay

Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. Base pay will be determined on an individualized basis and is part of a total compensation package that may include commission earnings, incentive compensation, discretionary bonuses, other short‑ and long‑term incentive programs, and additional Morgan Stanley‑sponsored benefit programs.