Marketing & Communications Risk AVP — Regulatory Compliance

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

Job summary

Morgan Stanley is seeking an Assistant Vice President in Marketing & Communications Risk to lead review and approval of both external and internal communications, ensuring regulatory compliance and alignment with firm policies. The role involves collaborating with Legal, Risk, and business partners on complex marketing initiatives.

The candidate will support regulatory exams and audits, file with FINRA, and escalate issues as needed while leveraging strong knowledge of SEC/FINRA rules and

Qualifications

• Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
• Experience reviewing communications for complex products with emphasis on self-directed trading; E*TRADE a plus.
• Product knowledge including mutual funds, ETFs, stocks, bonds, options, futures and SMAs.
• Prior Risk, Compliance or Regulatory experience focusing on communications with the public for 2+ years.
• Proficiency with ESG and cryptocurrencies regulatory focus.
• Excellent analytical ability with strong attention to detail.
• Excellent listening and communication skills; persuasive.
• Strong organizational, planning and time management skills.
• Ability to work independently or as part of a team with minimal oversight.

Responsibilities

• Review and approve external and internal communications, including marketing for new products or services.
• File retail communications with FINRA Advertising Regulation; respond and revise per comments.
• Consult with business and control partners on regulatory issues in marketing materials and platforms.
• Assist with regulatory exams, inquiries, internal audits and targeted assessments.
• Assist partners with audits and regulatory exams; escalate issues as needed.
• Share feedback with team members and provide constructive guidance.
• Collaborate with senior management across business, Legal, Risk and Compliance.

Skills

SEC/FINRA knowledge

Regulatory review of communications

Product knowledge (mutual funds, ETFs,

Education

Undergraduate degree or equivalent

FINRA Series 7

FINRA Series 24

Tools

Microsoft Suite

Adobe Suite

Job description

Morgan Stanley is seeking an Assistant Vice President in Marketing & Communications Risk to lead review and approval of both external and internal communications, ensuring regulatory compliance and alignment with firm policies. The role involves collaborating with Legal, Risk, and business partners on complex marketing initiatives.

The candidate will support regulatory exams and audits, file with FINRA, and escalate issues as needed while leveraging strong knowledge of SEC/FINRA rules and