Marketing & Communications Risk Vice President

About the Role

Morgan Stanley's Wealth Management Risk division is seeking a Vice President to join the Risk Communications Central Review Unit. The Vice President will work closely with Business Partners, as well as Legal and Compliance colleagues, on a variety of complex initiatives. The role involves providing regulatory guidance on firm-generated communications with the public, including verification of compliance with governing regulations and internal policies, and resolution of issues. The Vice President will be responsible for final approval of certain communications with the public, including retail communications, social media/website content, and various forms of correspondence.

Responsibilities

• Review and approval of communications, with a focus on increasing wallet share of existing clients who are underutilizing or unaware of existing Firm offerings.
• File retail communications with FINRA's Advertising Regulation Department as needed, respond to any comments, and implement revisions potentially 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 businesses on inquiries regarding policies and procedures related to 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 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.

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 with at least 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 with strong attention to detail.
• Excellent listening, interpersonal, communication, 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 as 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.
• Experience delivering, integrating, or operationalizing AI/ML or LLM-enabled solutions in real-world workflows.
• Active FINRA Licenses: Series 7, with the ability to obtain Series 24 or Series 9/10 within 90 days of employment.
• An undergraduate degree or equivalent professional experience.
• Proficiency in Microsoft Office Tools and Adobe Suite.

Pay

Expected base pay rates for the role will be between $120,000 and $170,000 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.