Governance and Controls 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 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, achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

We're seeking someone to join our team as an Governance/Controls Management VP in the ETRADE, MSVA & WSG Risk Officer team to support the Risk Management team in assisting management teams execute the conduct governance strategy, while serving as a key escalation point for complex AI and Control matters such as creation, retention, archive and decommission planning.

Join our Wealth Management Client Segment Risk team, an integral in-business risk unit dedicated to assessing and managing risks associated with Financial Advisors and the Self-directed platform within Wealth Management. The ETRADE, MSVA & WSG Risk Officer team comprises centralized Risk Officers who oversee a comprehensive suite of controls monitoring potential sales practices, suitability, and regulatory compliance issues.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

Interested in joining a team that's eager to create, innovate and make an impact on the world? Read on...

What you'll do in the role:

• Serve as an intermediate escalation point for EWS & ETPS Governance inquiries and offer guidance to stakeholders and team members to resolve complex issues.
• Monitor the E*TRADE, MSVA & WSG Risk Officer team's performance, production and throughput, analyzing progress toward achieving quarterly and annual goals and ensuring timely delivery and accurate metrics reporting Management leadership and internal stakeholders.
• Ensure timely and accurate communication of controls, policies, and decommissioning requirements.
• Act as a liaison between business units, governance teams, and the Client Segment Risk organization at large helping interpret policy and escalate complex cases when necessary.
• Ensure processes and controls that are required to ensure ongoing compliance and ensure that their implementation is appropriately tracked.
• Assist with Senior Risk Officer Coverage
• Assist in the creation of AI Agents for Risk Officers use
• Leading continuous improvement and collaborating to deliver new controls solution
• Conducting awareness training with functional leaders and risk officers.

• 6+ years' experience in the financial services industry in risk and supervisory experience.
• Advanced understanding of controls
• Bachelor's degree
• Active Series 7, 8 (or 9 and 10), and 63, 65 (or 66)
• Detail-oriented with the ability to interpret policy documents.
• Excellent written and verbal communication skills.
• Ability act with autonomy and manage multiple requests and prioritize effectively
• Proficiency in Microsoft 365 (Outlook, Teams).
• Ability to interact with senior management and drive client satisfaction