AVP, Regulatory Communications & AI Risk Solutions

711 MS Smith Barney, LLC; Town/Village of Harrison (NY); On-site; USD 120,000 - 170,000; Full time

Job summary

Morgan Stanley in New York is seeking an AVP/VP for the Wealth Management Risk team to oversee regulatory guidance on firm communications with the public, verify compliance, and finalize approvals for retail content, social media, and correspondence.

The role collaborates with Business Partners, Legal and Compliance to address regulatory issues, assist with exams and audits, and help develop AI-enabled capabilities within risk workflows while adhering to firm policies and regulatory requirements.

Qualifications

• Strong working knowledge of SEC, FINRA and other SRO rules governing communications with the public.
• Experience reviewing and approving communications with the public in broker-dealer contexts.
• Experience applying AI/ML in operational risk and supervisory processes.

Responsibilities

• Review and approve communications to increase wallet share while ensuring regulatory compliance.
• Filing retail communications with FINRA and addressing regulatory comments.
• Consult with business, Legal and Compliance on policy issues and materials.
• Assist with regulatory exams, inquiries, and internal audits.
• Identify high-impact AI use cases and oversee AI tool integration into risk workflows.

Skills

Regulatory knowledge

Communications review

AI/ML experience

Cross-functional collaboration

Regulatory exams & audits

Education

Bachelor's degree or equivalent

Active FINRA licenses: Series 7 (and Series 24 or 9/10 within 90 days)

Tools

FINRA Licensing

Job description

Morgan Stanley in New York is seeking an AVP/VP for the Wealth Management Risk team to oversee regulatory guidance on firm communications with the public, verify compliance, and finalize approvals for retail content, social media, and correspondence.

The role collaborates with Business Partners, Legal and Compliance to address regulatory issues, assist with exams and audits, and help develop AI-enabled capabilities within risk workflows while adhering to firm policies and regulatory requirements.