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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.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Morgan Stanley’s Wealth Management Risk division is currently seeking candidates for an Assistant Vice President position to join the Marketing and Advertising Communications (MAC) review team.  In this capacity, the Assistant Vice President will work closely with Business Partners (including Registered Principals), as well as Legal and Compliance colleagues on a variety of complex initiatives.  The Assistant Vice President will provide regulatory guidance on firm generated communications with the public which includes, but is not limited to, verification of compliance with governing regulations, internal policies, and resolution of issues.

The successful candidate’s responsibilities will include, but not be limited to, the following: 

• Review and approval of communications which focuses on increasing wallet share of existing clients who are underutilizing / unaware of existing Firm offerings.
• Review and approval of 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.
• Provide assistance and guidance to businesses’ inquiries of any issues in regard to policies and procedures with their materials.
• 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.  

• #LI-AJ1

Qualifications

• Strong working knowledge of SEC, FINRA and other SRO rules concerning communications with the public.  
• Prior experience concerning communications for complex products and services with an emphasis on alternative investments and advisory services including, but not limited to OCIO programs, private funds,  Wrap Fee Programs 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
• 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, Compliance, Platform, Technology, and third-party vendors

Required Education, Licenses and Qualifications

• Active FINRA Licenses: Series 7 and Series 24.  Willing to obtain Series 65.
• An undergraduate degree or equivalent professional experience
• Microsoft and Adobe Suite