Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice

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 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 Firm’s 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:

Primarily responsible for working with senior leaders on the CCG team to further enhance MSWM’s 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:

Coordination with colleagues in CCG and Technology to define, draft, test, validate and finalize control design requirements and project management of the implementation of the requirements. 

Qualifications:

• Ten or more years of experience in implementing technology-based control or process enhancements including translating the concept for a process or control enhancement into business requirements documentation for use by Technology, Platforms and other groups,
• Hands-on familiarity with modern AI tools, architectures and implementation concepts including frontier large language models, model context protocols, AI agent and workflow orchestration, retrieval-augmented generation, embeddings, prompt engineering, context windows, tokens, model evaluation, guardrails, and the infrastructure required to integrate AI capabilities into governed business processes, along with
• Demonstrated ability to work effectively with technical teams in a business analyst capacity, across coding, data analysis, technology implementation, control logic development, test-case design, rules-based and model-based back-testing, false-positive and false-negative analysis, issue triage, performance monitoring, and documentation of testing outcomes to support governed deployment of supervisory controls and AI-enabled solutions
• 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
• Bachelor's Degree or equivalent

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 that’s differentiated – and we’ve 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 - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

New York:

Expected base pay rates for the role will be between $115,000 and $190,000 per year at the commencement of employment.  However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other 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.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.