Firmwide Marketing Risk Effectiveness -VP

$120,000 - $200,000/Yr

Morgan Stanley - New York, NY

Full-time - Mid Level

New York, NY

5,001-10,000 employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Vice President of Risk Effectiveness within the Firmwide Marketing team at Morgan Stanley is responsible for establishing and managing a robust risk culture and framework. This role focuses on leading the Risk and Control Self-Assessment program, overseeing Business Continuity Planning, and ensuring compliance with marketing regulations. The position requires a proactive individual who can foster relationships across various teams and implement best practices in risk management.

Responsibilities

• Lead and manage the Risk and Control Self-Assessment program (RCSA) as part of the Firm's Operational Risk Framework.
• Oversee the development and process of Business Continuity Planning (BCP) to prepare for potential business-impacting incidents.
• Provide Registered Principal (S24) oversight for internal and external marketing, sales, and advertising materials.
• Support reviews of marketing content to ensure compliance with SEC marketing rules and FINRA Rule 2210.
• Govern Web and Social Media areas related to marketing.
• Lead Risk training efforts for the Firmwide Marketing team.
• Perform Business Unit Information Security Officers (BUISO) responsibilities, including implementing the Firm's Information Security Program.
• Foster a culture of Risk Management within Firmwide Marketing by building relationships with Marketing subject matter experts and cross-functional partners.

Requirements

• Seven plus years of industry work experience, preferably within financial services, insurance, or marketing.
• Series 7 and 24 securities licenses; experienced in content reviews.
• Strong working knowledge of global securities laws, rules, and regulations relating to marketing materials.
• Highly organized with strong interpersonal and problem-solving skills.
• Strong strategic thinker with the ability to see the bigger picture.
• Team player, hard-working, resourceful, proactive, and a self-starter.
• Ability to thrive in a fast-paced, deadline-driven environment.
• Careful attention to detail.
• Strong written and communication skills.
• Proficiency in MS Office applications (PowerPoint, Excel, Teams).

Benefits

• Competitive salary range of $120,000 - $200,000 per year.
• Commission earnings and incentive compensation.
• Discretionary bonuses and other short and long-term incentive packages.
• Morgan Stanley sponsored benefit programs.