Morgan Stanley
Risk Communications Central Review Unit-Vice President
Morgan Stanley, New York, New York, us, 10261
Risk Communications Central Review Unit-Vice President
Morgan Stanley is a leading global financial services firm providing a broad range of investment banking, securities, investment management and wealth management services. The firm serves clients worldwide, including corporations, governments and individuals, from more than 1,200 offices in 43 countries.
The Wealth Management Risk division is seeking a Vice President to join the Risk Communications Central Review Unit team. In this role, you will lead and manage a team of Risk Principals, and work closely with Financial Advisors, Risk Officers, Legal and Compliance colleagues on a variety of communications and marketing submissions. You will provide guidance on compliance with governing regulations, internal policies and issue resolution.
Responsibilities
Review and approve retail communications and advertisements submitted by top‑producing Financial Advisors, providing actionable edits and feedback.
Consult frequently and communicate effectively with key stakeholders about potential regulatory issues involving marketing materials, tools, initiatives, projects and platforms.
Respond to regulatory exams, inquiries, internal audits and targeted assessments.
Seek advice, share concerns and provide constructive feedback and coaching to team members.
Analyze existing processes, workflows and delegation of work to promote efficiency while managing risk.
Qualifications
Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
Proficient understanding of industry and regulatory focus areas such as books and records, ESG and cryptocurrencies.
Prior experience reviewing communications with the public, including the use of workflow management systems.
Excellent analytical ability with strong attention to detail and the ability to follow up on numerous concurrent matters.
Strong leadership skills to manage a geographically distributed team and promote an inclusive environment.
Excellent interpersonal, communication and persuasion skills.
Strong organizational, planning and time‑management skills in a fast‑paced, dynamic environment.
Ability to work independently with minimal oversight and exercise prudent judgment in resolving complex issues.
Ability to collaborate with senior management, Legal, Risk, Compliance, Platform, Technology and third‑party vendors.
Required Education, Licenses and Qualifications
FINRA Series 7 and Series 24.
Undergraduate degree or equivalent professional experience.
Proficiency with Microsoft and Adobe Suite.
We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide our decision‑making and ensure a supportive and empowering environment for all employees.
Expected base pay rates for this role will be between $120,000 and $165,000 per year at the commencement of employment, plus additional incentive, bonus and benefit components.
It is the policy of Morgan Stanley to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital or civil partnership 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).
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The Wealth Management Risk division is seeking a Vice President to join the Risk Communications Central Review Unit team. In this role, you will lead and manage a team of Risk Principals, and work closely with Financial Advisors, Risk Officers, Legal and Compliance colleagues on a variety of communications and marketing submissions. You will provide guidance on compliance with governing regulations, internal policies and issue resolution.
Responsibilities
Review and approve retail communications and advertisements submitted by top‑producing Financial Advisors, providing actionable edits and feedback.
Consult frequently and communicate effectively with key stakeholders about potential regulatory issues involving marketing materials, tools, initiatives, projects and platforms.
Respond to regulatory exams, inquiries, internal audits and targeted assessments.
Seek advice, share concerns and provide constructive feedback and coaching to team members.
Analyze existing processes, workflows and delegation of work to promote efficiency while managing risk.
Qualifications
Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.
Proficient understanding of industry and regulatory focus areas such as books and records, ESG and cryptocurrencies.
Prior experience reviewing communications with the public, including the use of workflow management systems.
Excellent analytical ability with strong attention to detail and the ability to follow up on numerous concurrent matters.
Strong leadership skills to manage a geographically distributed team and promote an inclusive environment.
Excellent interpersonal, communication and persuasion skills.
Strong organizational, planning and time‑management skills in a fast‑paced, dynamic environment.
Ability to work independently with minimal oversight and exercise prudent judgment in resolving complex issues.
Ability to collaborate with senior management, Legal, Risk, Compliance, Platform, Technology and third‑party vendors.
Required Education, Licenses and Qualifications
FINRA Series 7 and Series 24.
Undergraduate degree or equivalent professional experience.
Proficiency with Microsoft and Adobe Suite.
We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—guide our decision‑making and ensure a supportive and empowering environment for all employees.
Expected base pay rates for this role will be between $120,000 and $165,000 per year at the commencement of employment, plus additional incentive, bonus and benefit components.
It is the policy of Morgan Stanley to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, gender identity or expression, sexual orientation, national origin, citizenship, disability, marital or civil partnership 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).
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