Morgan Stanley
Marketing & Communications Risk Assistant Vice President
Morgan Stanley, Jersey City, New Jersey, United States, 07390
Marketing & Communications Risk Assistant Vice President
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. Morgan Stanley’s Wealth Management Risk division is currently seeking a candidate for an Assistant Vice President position to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President will reside within the first line and work closely with Business Partners, Legal and Compliance colleagues on a variety of complex marketing initiatives. The role requires providing firm and regulatory guidance concerning both public and internal communications, including verification of compliance with governing regulations and internal policies, and resolution of issues. Responsibilities
Review and provide final supervisory approval of communications (both external and internal), including marketing that introduces new products and/or services to clients and/or prospects. File retail communications with FINRA’s Advertising Regulation Department, respond to any comments, and implement revisions potentially arising from FINRA review. Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, and platforms. Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments. Assist business partners with audits, targeted assessments and regulatory exams. Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc. Seek advice and/or share issues and concerns with team members and provide constructive feedback. Qualifications
Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public. Prior experience reviewing communications for complex products and services with an emphasis on self‑directed trading; experience with E*TRADE is a plus. Product knowledge including, but not limited to, mutual funds, exchange traded funds, stocks, bonds, options, futures and SMAs. Prior risk, compliance or regulatory experience for a minimum of two years specifically focused on communications with the public. Proficient understanding of industry and regulatory focus areas such as ESG and cryptocurrencies. Excellent analytical ability with strong attention to detail. Excellent listening, interpersonal, communication and persuasion skills. Strong organizational, planning and time‑management skills to multitask competing priorities in a fast‑paced and dynamic environment. Ability to follow specific directions and function independently or as part of a team with minimal oversight. Ability to exercise prudent judgment when resolving complex issues. Ability to work collaboratively with senior levels of management within the business, Legal, Risk and Compliance teams. Required Education, Licenses and Qualifications
Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4. Undergraduate degree or equivalent professional experience. Proficiency in Microsoft and Adobe Suite. What You Can Expect From Morgan Stanley
We are committed to maintaining first‑class service and the 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 daily decisions. At Morgan Stanley you’ll find an opportunity to work alongside the best and brightest in an environment that supports and empowers employees. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We proudly support our employees and their families at every point along their work‑life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There is also ample opportunity to move about the business for those who show passion and grit in their work. Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. Base pay if hired 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 Morgan Stanley‑sponsored benefit programs. Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. 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, 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).
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Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. Morgan Stanley’s Wealth Management Risk division is currently seeking a candidate for an Assistant Vice President position to join the Risk Communications Central Review Unit. In this capacity, the Assistant Vice President will reside within the first line and work closely with Business Partners, Legal and Compliance colleagues on a variety of complex marketing initiatives. The role requires providing firm and regulatory guidance concerning both public and internal communications, including verification of compliance with governing regulations and internal policies, and resolution of issues. Responsibilities
Review and provide final supervisory approval of communications (both external and internal), including marketing that introduces new products and/or services to clients and/or prospects. File retail communications with FINRA’s Advertising Regulation Department, respond to any comments, and implement revisions potentially arising from FINRA review. Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, and platforms. Assist with responding to regulatory exams, inquiries, internal audits and targeted assessments. Assist business partners with audits, targeted assessments and regulatory exams. Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc. Seek advice and/or share issues and concerns with team members and provide constructive feedback. Qualifications
Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public. Prior experience reviewing communications for complex products and services with an emphasis on self‑directed trading; experience with E*TRADE is a plus. Product knowledge including, but not limited to, mutual funds, exchange traded funds, stocks, bonds, options, futures and SMAs. Prior risk, compliance or regulatory experience for a minimum of two years specifically focused on communications with the public. Proficient understanding of industry and regulatory focus areas such as ESG and cryptocurrencies. Excellent analytical ability with strong attention to detail. Excellent listening, interpersonal, communication and persuasion skills. Strong organizational, planning and time‑management skills to multitask competing priorities in a fast‑paced and dynamic environment. Ability to follow specific directions and function independently or as part of a team with minimal oversight. Ability to exercise prudent judgment when resolving complex issues. Ability to work collaboratively with senior levels of management within the business, Legal, Risk and Compliance teams. Required Education, Licenses and Qualifications
Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4. Undergraduate degree or equivalent professional experience. Proficiency in Microsoft and Adobe Suite. What You Can Expect From Morgan Stanley
We are committed to maintaining first‑class service and the 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 daily decisions. At Morgan Stanley you’ll find an opportunity to work alongside the best and brightest in an environment that supports and empowers employees. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We proudly support our employees and their families at every point along their work‑life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There is also ample opportunity to move about the business for those who show passion and grit in their work. Expected base pay rates for the role will be between $85,000 and $140,000 per year at the commencement of employment. Base pay if hired 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 Morgan Stanley‑sponsored benefit programs. Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. 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, 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).
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