Risk Communications AVP: AI-Driven Regulatory Review

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

Job summary

Morgan Stanley in New York seeks an Assistant Vice President for Wealth Management Risk Communications Central Review Unit to review and approve public communications with a focus on regulatory compliance and firm policies.

You will collaborate with Business Partners, Legal, and Compliance, guiding materials, auditing responses, and escalating issues as needed, with emphasis on ESG considerations and supervisory governance.

Qualifications

• Strong knowledge of SEC, FINRA and other SRO rules governing communications with the public.
• Two years' experience reviewing and approving communications with the public at a broker-dealer or RIA.
• Experience with ESG focus areas and regulatory requirements.

Responsibilities

• Review and approve communications focusing on wallet share of existing clients with offerings.
• File retail communications with FINRA Advertising Regulation, respond to comments and revisions.
• Consult with business partners on regulatory issues in marketing materials and initiatives.
• Provide guidance on policies and procedures for materials.
• Assist with responding to regulatory exams, inquiries, and audits.
• Escalate issues as needed.

Skills

Analytical ability

Attention to detail

Communication skills

Time management

Team collaboration

Education

Undergraduate degree or equivalent

FINRA Series 7 & Series 24 licenses

Microsoft Office & Adobe Suite

Tools

Microsoft Office

Adobe Suite

Job description

Morgan Stanley in New York seeks an Assistant Vice President for Wealth Management Risk Communications Central Review Unit to review and approve public communications with a focus on regulatory compliance and firm policies.

You will collaborate with Business Partners, Legal, and Compliance, guiding materials, auditing responses, and escalating issues as needed, with emphasis on ESG considerations and supervisory governance.