VP, Risk Controls & Governance — Supervisory Design & AI

Morgan Stanley; New York (NY); On-site; USD 180,000 - 280,000; Full time

Job summary

Morgan Stanley is seeking a Vice President to join the Wealth Management Conduct, Controls & Governance (WM CCG) team in New York. The role focuses on supervising control design and implementing improvements across sales practice and risk disciplines.

Responsibilities include evaluating current controls, prioritizing enhancements, and coordinating with Technology, Legal, Compliance, and Risk groups to ensure robust governance and regulatory alignment.

Qualifications

• Ten+ years in Risk Management, Legal, Compliance or related roles in broker-dealer/financial services.
• Strong verbal and written communication with presentation experience.
• Strong quantitative and analytical skills; able to lead control design assessments.

Responsibilities

• Assess efficiency/effectiveness of existing controls and processes.
• Identify enhancements to controls, including AI solutions where appropriate.
• Prioritize control enhancement initiatives and implementations.
• Coordinate with Technology, Platforms Legal, Compliance, WM Risk and other groups for control design.
• Present enhancements to working groups and governance committees.

Skills

Risk management

Compliance

Communication

Analytical skills

Project leadership

Stakeholder management

MS Office

Education

Bachelor's Degree or equivalent

Series 7, 66, and 24 licenses preferred

Tools

PowerPoint

Excel

Dataiku

Tableau

Job description

Morgan Stanley is seeking a Vice President to join the Wealth Management Conduct, Controls & Governance (WM CCG) team in New York. The role focuses on supervising control design and implementing improvements across sales practice and risk disciplines.

Responsibilities include evaluating current controls, prioritizing enhancements, and coordinating with Technology, Legal, Compliance, and Risk groups to ensure robust governance and regulatory alignment.