AVP, Marketing Risk & Compliance - AI-Driven Communications

Morgan Stanley; New York (NY); On-site; USD 85,000 - 140,000; Full time

Job summary

Morgan Stanley's Wealth Management Risk division seeks an Assistant Vice President to join the Central Review Unit in New York. You will review and approve communications with the public, ensuring compliance with SEC/FINRA rules and internal policies, collaborating with Legal, Compliance and Business Partners on regulatory matters.

Key duties include filing with FINRA, advising on policy issues, supporting regulatory exams, and guiding AI-enabled initiatives within risk workflows while

Qualifications

• Strong knowledge of SEC, FINRA and SRO rules for public communications.
• Experience at broker-dealer and RIA with reviewing communications (2+ years).
• Understanding of ESG in regulatory contexts.
• Excellent analytical, detail-oriented and persuasive communication skills.
• Ability to work with senior management across multiple functions.

Responsibilities

• Review and approve public communications to ensure regulatory compliance.
• File retail communications with FINRA and address comments from review.
• Consult with business, Legal and Compliance on regulatory issues.
• Assist with regulatory exams, audits and targeted assessments.
• Support AI/ML initiatives and governance within risk workflows.

Skills

Broker-dealer experience

FINRA knowledge

Regulatory awareness

ESG understanding

Analytical skills

Communication skills

Education

Series 7 license

Series 24 license

Bachelor's degree or equivalent

Tools

Microsoft Office

Adobe Suite

Job description

Morgan Stanley's Wealth Management Risk division seeks an Assistant Vice President to join the Central Review Unit in New York. You will review and approve communications with the public, ensuring compliance with SEC/FINRA rules and internal policies, collaborating with Legal, Compliance and Business Partners on regulatory matters.

Key duties include filing with FINRA, advising on policy issues, supporting regulatory exams, and guiding AI-enabled initiatives within risk workflows while