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Morgan Stanley · 1 day ago

Marketing & Communications Risk Assistant Vice President

Purchase, NY

Full-time

Onsite

Mid Level

$85K/yr - $140K/yr

2+ years exp

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. They are seeking an Assistant Vice President for the Risk Communications Central Review Unit, who will work closely with Business Partners, Legal, and Compliance colleagues on complex marketing initiatives, ensuring compliance with regulations and internal policies. The role involves reviewing communications, responding to regulatory inquiries, and collaborating with various teams to resolve issues.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Review and final supervisory approval of communications (both external and internal) including marketing which introduces new products and/or services to clients and/or prospects

Filing retail communications with FINRA’s Advertising Regulation Department, responding to any comments and implementing revisions potentially arising from FINRA review

Consult frequently with business and control partners on potential regulatory issues involving marketing materials, tools, initiatives, projects, platforms, etc

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

Qualification

SEC knowledgeFINRA complianceRisk experienceProduct knowledgeActive FINRA LicensesAnalytical skillsMicrosoft SuiteAdobe SuiteInterpersonal skillsOrganizational skills

Required

Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public

Prior experience concerning the review of 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 2 years combined focusing specifically on communications with the public

Proficient understanding of areas of industry and regulatory focus, e.g., ESG and cryptocurrencies

Excellent analytical ability while consistently demonstrating strong attention to detail

Excellent listening, interpersonal, communicative 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 part of a team with minimal oversight

Ability to exercise prudent judgment as it applies to resolving complex issues

Ability to work collaboratively with senior levels of management within the business, Legal, Risk, and Compliance teams

Active FINRA Licenses: Series 7 and Series 24. Willingness to obtain Series 4

Undergraduate degree or equivalent professional experience

Microsoft and Adobe Suite