Client Segment Risk Conduct, Controls & Governance Control Design 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 Firms employees serve clients worldwide including corporations governments and individuals from more than 1200 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 ethics. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn to achieve and grow. A philosophy that balances personal lifestyles perspectives and needs is an important part of our culture.

The Wealth Management Conduct Controls & Governance team (WM CCG) within the Wealth Management Client Segment Risk organization is responsible for among other functions designing supervisory controls and processes to mitigate risks to clients and the Firm including but not limited to those arising from Financial Advisor (FA) sales practice misconduct and internal policy violations. The work CCG performs is in furtherance of the Firms discharge of its core values of putting clients first and doing the right thing.

WM CCG is seeking to hire a Vice President to join the team focused on supervisory control design and implementation.

Primary Responsibilities:

Working with senior leaders on the CCG team to further enhance MSWMs supervisory control framework including but not limited to:

• Assessment of the efficiency and effectiveness of existing controls and processes
• Identification of enhancements to controls including AI solutions where appropriate
• Prioritization of control enhancement initiatives
• Implementation of control enhancements
• Coordination with key stakeholders in Technology Platforms Legal Compliance WM Risk and other groups in furtherance of the design and implementing of control enhancements

Role Focus Areas:

• Consideration of regulatory rules internal policies and best practice guidelines governing controls data analysis to assess the efficiency and effectiveness of legacy supervisory controls identification of opportunities for control enhancements design of enhancements coordination with key stakeholders to align on proposed enhancements and presentations to working group and governance committees. Significant knowledge and experience in sales practice conduct and investment risk is required.

Qualifications:

• Ten or more years of experience in Risk Management Legal Compliance or other roles in the broker-dealer or financial services industry which gives the candidate expertise in the supervision of sales practice conduct product risk and investment risk enabling them to effectively lead control design assessments and enhancements
• Strong verbal and written communication skills including presentation experience
• Strong quantitative and analytical skills
• Strong problem-solving and business judgment
• Strong organizational planning and time management skills
• Ability and willingness to voice ideas in addition to following instructions
• Ability to lead discussions including with more senior/experienced participants
• High motivation and energy with ability to develop strong working relationships
• A calm demeanor and ability to work on multiple tasks at one time
• Self-starter with a strong attention to detail
• Ability to work well with colleagues across a diverse range of working groups in a fast-paced environment
• Proficiency in MS Office PowerPoint Excel Dataiku and Tableau
• Bachelors Degree or equivalent
• Series 7 66 (or 63 & 65) and 24 (or 9 and 10) preferred

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley we raise manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll find an opportunity to work alongside the best and the brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. We are proud to 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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New York:

Expected base pay rates for the role will be between $115000 and $190000 per year at thecommencement of employment. However base pay if hired will be determined on an individualized basis and isonly part of the total compensation package which depending on the position may also include commissionearnings incentive compensation discretionary bonuses other short and long-term incentive packages andother Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion where individuals are hired developed and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate bringing a variety of backgrounds talents perspectives and experiences.

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