VP of Marketing Risk Management

$120,000 - $200,000/Yr

Morgan Stanley - New York, NY

Full-time - Senior

New York, NY

1,001-5,000 employees

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

About the position

The Vice President of Marketing Risk Management at Morgan Stanley is responsible for leading the Firmwide Marketing Risk Management team. This role focuses on building a strong risk culture, managing risk assessment programs, and ensuring compliance with regulatory requirements. 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.
• Manage the Business Continuity Planning (BCP) development and process to prepare for potential business-impacting incidents.
• Provide Registered Principal (S24) oversight for internal and external marketing materials and guide marketers on compliance inquiries.
• Support reviews of marketing content to ensure compliance with SEC marketing rules and FINRA Rule 2210.
• Oversee Firmwide Marketing Policies and Procedures.
• Govern Web and Social Media areas.
• Lead Risk training efforts for Firmwide Marketing.
• 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 across teams.

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.
• Managerial skills with careful attention to detail.
• Strong written and communication skills.
• Proficiency in MS Office applications (PowerPoint, Excel, Teams).

Benefits

• Commission earnings
• Incentive compensation
• Discretionary bonuses
• Short and long-term incentive packages
• Morgan Stanley sponsored benefit programs