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. In this role, you will work closely with Business Partners, Legal, and Compliance colleagues on complex initiatives, providing regulatory guidance on firm-generated communications with the public. This includes verifying compliance with governing regulations and internal policies, resolving issues, and granting final approval for communications such as retail materials, social media/website content, and correspondence.

Responsibilities

• Review and approve communications aimed at increasing wallet share of existing clients who underutilize or are unaware of firm offerings.
• File retail communications with FINRA’s Advertising Regulation Department as needed, respond to comments, and implement revisions 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 for 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, or reviewers, and seek advice or share concerns with team members while providing constructive feedback.
• In consultation with the business, identify high-impact AI use cases, develop product strategies, and oversee the 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 adhering 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 two years of experience reviewing and approving communications with the public.
• Proficient understanding of areas of industry and regulatory focus, such as ESG.
• Excellent analytical ability with strong attention to detail.
• Strong 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 directions and function independently or as part of a team with minimal oversight.
• Ability to exercise prudent judgment in 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.

Qualifications

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

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing investment banking, securities, investment management, and wealth management services. With over 80,000 employees in 1,200 offices across 42 countries, we serve clients worldwide, including corporations, governments, and individuals. Our success is driven by a shared set of values rooted in integrity, excellence, and strong team ethic. We offer a supportive and empowering environment where employees can learn, achieve, and grow while balancing personal lifestyles and perspectives.

Pay

Expected base pay rates for this role range between $120,000 and $170,000 per year at the commencement of employment. Base pay is 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 packages, and Morgan Stanley-sponsored benefit programs.

Benefits

Morgan Stanley offers some of the most attractive and comprehensive employee benefits and perks in the industry, supporting employees and their families at every point along their work-life journey. There is also ample opportunity to move within the business for those who demonstrate passion and grit in their work.