Marketing & Communications Risk VP: AI-Driven Compliance

Morgan Stanley

Dallas (TX)

On-site

USD 120,000 - 170,000

Full time

5 days ago

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Job summary

Morgan Stanley is seeking an AVP/VP in New York within Wealth Management Risk to review and approve public communications, ensuring FINRA compliance and regulatory alignment. The role collaborates with Legal, Compliance, and business partners to integrate AI-enabled tools into risk workflows.

Candidate will oversee design and buildout of AI/LLM capabilities, while maintaining adherence to firm policies and regulatory requirements.

Qualifications

Experience delivering, integrating, or operationalizing AI/ML or LLM-enabled solutions in real-world workflows.

Responsibilities

Review and approve communications with the public.
File retail communications with FINRA Advertising Regulation; respond to comments and revisions.
Consult with business and control partners on regulatory issues involving materials.
Provide guidance on policies and procedures for materials.
Assist with regulatory exams, inquiries and internal audits.
Assist partners with audits and targeted assessments.
Escalate issues regarding initiatives and materials.
Share issues with team and provide constructive feedback.
Identify high-impact AI use cases and oversee AI tool integration into risk workflows.
Design and build AI/LLM-enabled capabilities to improve supervisory processes while meeting requirements.