Marketing & Communications Risk Assistant Vice President

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Morgan Stanley’s Wealth Management Risk division is currently seeking candidates for an Assistant Vice President position to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President reside within the first line and work closely with Business Partners, Legal and Compliance colleagues on a variety of complex marketing initiatives. The Assistant Vice President will provide firm and regulatory guidance concerning both public and internal communications which includes, but is not limited to, verification of compliance with governing regulations, internal policies, and resolution of issues. 

The successful candidate’s responsibilities will include, but not be limited to, the following: 

• Review and final supervisory approval of communications (both external and internal) including marketing which introduces new products and/or services to clients and/or prospects.

• Filing retail communications with FINRA’s Advertising Regulation Department, 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.

• 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.

Qualifications

• Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.

• Prior experience concerning the review of communications for complex products and services with an emphasis on self-directed trading. Experience with E*TRADE is a plus. 

• Product knowledge including, but not limited to, mutual funds, exchange traded funds, stocks, bonds, options, futures and SMAs.

• Prior Risk, Compliance or Regulatory experience for a minimum of 2 years combined focusing specifically on communications with the public.

• Proficient understanding of areas of industry and regulatory focus, e.g., ESG and cryptocurrencies.

• 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, and Compliance teams.

Required Education, Licenses and Qualifications

• Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4.

• Undergraduate degree or equivalent professional experience

• Microsoft and Adobe Suite 

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

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Expected base pay rates for the role will be between $85,000 and $140,000 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.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).