VP, AI Compliance Officer

Morgan Stanley; Dallas (TX); On-site; USD 108,000 - 185,000; Full time

Benefits offered by this job

Medical Insurance

401(k) Plan

Paid Time Off

Job summary

Morgan Stanley is seeking a Vice President for Artificial Intelligence Compliance in Wealth Management Compliance. This role involves providing oversight and advisory for AI initiatives, ensuring compliance with regulations while fostering responsible innovation.

The candidate will collaborate with legal and risk teams, review AI models, and establish compliance policies. Individuals should have 8+ years of relevant experience along with a bachelor's degree in a relevant field.

Comprehensive benefits include medical, dental, 401(k), and paid time off.

Qualifications

• 8+ years of relevant experience in compliance and AI.
• Strong understanding of AI governance and regulatory frameworks.

Responsibilities

• Advise teams on AI governance and strategy requirements.
• Review AI models for compliance with regulations.
• Establish ongoing monitoring controls for AI initiatives.
• Collaborate with compliance policy and training teams.
• Prepare management reporting on AI risks and initiatives.

Skills

Compliance advisory support

Regulatory requirements understanding

Artificial Intelligence assessment

Stakeholder collaboration

Analytical skills

Organizational skills

Attention to detail

Decision-making

Education

Bachelor's degree in Business, Computer Science, Engineering, or related field

Job description

We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and governance for Artificial Intelligence initiatives, including Generative AI, partnering closely with senior business, legal, risk, and technology stakeholders to enable responsible innovation while meeting regulatory and firm requirements.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Innovation, Platforms and Communications Compliance team, which is responsible for providing compliance advice, governance, and oversight for analytics, data, artificial intelligence, generative AI, and platforms activities within Wealth Management.

Responsibilities

• Advise Wealth Management Generative AI and Platforms teams on AI governance, strategy, data usage, and oversight requirements.
• Review Artificial Intelligence and Machine Learning models and Generative AI, to assess compliance with regulatory rules related to Artificial Intelligence, Consumer Protection, Standards of Care, and Communications with the Public.
• Assess AI against heightened risk considerations, including conflicts of interest, and recommend appropriate controls and mitigations.
• Establish and support ongoing monitoring and testing controls in coordination with Compliance Monitoring and Testing teams.
• Collaborate with Policy and Training teams to draft, implement, and maintain compliance policies and training governing the use of AI technologies.
• Participate in Wealth Management, Firmwide, and Compliance governance committees and forums.
• Prepare management reporting, metrics, and dashboards to inform senior management of key initiatives, risks, and control effectiveness.
• Support regulatory inquiries, internal audits, and examinations (e.g., SEC, FINRA, Internal Audit), including remediation and post-exam action plans.

Qualifications

• Ability to provide compliance advisory support in a second line of defense role for platforms artificial intelligence, and Generative AI initiatives.
• Understanding of regulatory requirements, industry standards, and firm policies related to Artificial Intelligence, predictive analytics, and communications with the public.
• Experience reviewing and assessing traditional Artificial Intelligence, Generative AI and Large Language Models.
• Experience collaborating with business, legal, risk, technology, and model risk management stakeholders.
• Strong analytical, organizational, and attention-to-detail skills, with the ability to manage multiple priorities in a fast-paced environment.
• Demonstrate capacity to work independently and make informed decisions.
• Bachelor's degree in Business, Computer Science, Engineering, Statistics, Mathematics, Risk Management, or a related field.
• Typically, 8+ years' relevant experience would generally be expected to find the skills required for this role.

Benefits

Expected base pay rates for the role will be between $108,000.00 and $185,000.00 per year in Texas and between $95,000 and $165,000 per year in Maryland. Base pay will be determined on an individualized basis and is only part of the total compensation package, which may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other firm-sponsored benefit programs. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and other insurance plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 vacation days annually), 10 paid holidays, 401(k), and short/long-term disability, in addition to other special perks reserved for employees.

Equal Opportunity

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).