Marketing & Communications Risk Assistant Vice President
Morgan Stanley is a leading global financial services firm providing investment banking, securities, investment management and wealth management services. The Wealth Management Risk division is seeking an Assistant Vice President to join the Risk Communications Central Review Unit, working closely with business partners, legal and compliance on complex initiatives and providing regulatory guidance for firm‑generated public communications.
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, 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, and platforms.
- 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 during audits, targeted assessments, and regulatory exams.
- Escalate issues concerning business initiatives, projects, materials, submitters, or reviewers as needed.
- Seek advice, share issues and concerns with team members, and provide constructive feedback.
- Identify high‑impact AI use cases, develop product strategies, and oversee delivery and integration of AI tools into existing risk workflows.
- Assist in designing and building AI/LLM‑enabled capabilities to improve efficiency and consistency in supervisory processes while maintaining regulatory compliance.
Qualifications
- Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
- Prior broker‑dealer and Registered Investment Adviser experience, ideally with at least two years reviewing and approving public communications.
- Proficient understanding of industry and regulatory focus areas, such as 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 experience working 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.
Education, Licenses, and Technical Skills
- Active FINRA Licenses: Series 7 and Series 24.
- An undergraduate degree or equivalent professional experience.
- Proficiency with Microsoft Office Suite and Adobe Suite.
Compensation
Expected base pay rates for the role are 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, short‑ and long‑term incentive programs, and other Morgan Stanley‑sponsored benefit programs.
Benefits
Morgan Stanley offers attractive and comprehensive employee benefits and perks, supports employees and their families throughout their work‑life journey, and provides ample opportunity for internal mobility for those who demonstrate passion and grit.
Culture and Values
The firm’s values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide daily decisions. Employees work alongside top talent in a collaborative, inclusive environment that encourages creativity and continuous growth.