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Morgan Stanley (“MS”) is a global financial services firm that conducts its business through three principal business segments—Institutional Securities, Global Wealth Management via Wealth Management (WM), and Asset Management. WM’s network includes approximately 15,000 Financial Advisors with total client assets of over $1.5 trillion. WM provides comprehensive financial advice and services to its clients including brokerage, investment advisory, financial and wealth planning, credit and lending, deposits and cash management, annuities, insurance, retirement, and trust services.

Morgan Stanley Private Bank, National Association (“MSPBNA”) and Morgan Stanley Bank, N.A. (“MSBNA”), jointly referred to as “Banks”, provides banking and lending products and services primarily to Wealth Management and Institutional clients of the Banks’ affiliated broker/dealers.

The Banks are seeking a Registered Principle(FINRA Series 24)for purposes of reviewing marketing and communications pertaining to the Banks’ products and that are sent through the affiliated broker/dealers. Additionally, this role will be responsible for providing conduct risk oversight of Bank employees who are approved to maintain Active or Permissive Registrations as Associated Persons of the affiliated broker/dealers and serve as a risk manager for a number of other Conduct Risk initiatives mandated by Morgan Stanley (the “Firm”) or the Banks.

The role will report to the Bank’s Field Surveillance Officer and will be based in either New York, NY or Purchase, NY.

The successful candidate’s responsibilities will include, but not be limited to, the following:

• Review and approval of marketing and communications which introduces products and/or services offered by Morgan Stanley Private Bank, National Association and/or Morgan Stanley Bank, N.A. • Consult with cash management and lending businesses and control partners on regulatory requirements/guidelines and internal policy mandates involving marketing materials, tools, initiatives, projects, platforms, etc. • Provide assistance and guidance to businesses’ inquiries of any issues in regard to policies and procedures with their materials. • Escalate as needed any issues concerning businesses’ initiatives, projects, materials, submitters, reviewers, etc.
• Assist in the coordination of the Bank’s Marketing and Communication review program by maintaining the program’s procedures and preparing any program presentations • Ensure the Bank maintains proper oversight over those Bank employees who either maintain active or permissive registrations • Assist in the surveillance of Bank employees with active Nationwide Mortgage Licensing Service (“NMLS”) licenses • Assist in completing the annual Risk and Control Self-Assessment (RCSA) and responding to regulatory exams, inquiries, internal audits, and targeted assessments. • Provide back up support to the Field Surveillance Officer, where necessary • Travel Required: None

* * Experience: •Strong working knowledge of FED, OCC, FDIC, SEC, FINRA and other SRO rules concerning communications with the public.
•Prior experience concerning communications for cash management (deposits) and lending products (including securities-based lending ("SBL")) •Prior Risk, Compliance or Regulatory experience for a minimum of 2 years combined focusing specifically on communications with the public.
•Proficient understanding of areas of industry and regulatory focus, e.g., SBL, Deposit Sweeps •Excellent analytical ability while consistently demonstrating strong attention to detail •Excellent listening, interpersonal, communicative and problem solving skills •Strong organizational, planning and time management skills to multitask competing priorities in a fast paced and dynamic environment •Ability to follow specific directions and function independently or part of a team •Ability to exercise prudent judgment as it applies to resolving complex issues •Ability to work collaboratively with senior levels of management within the business, Legal, Risk, Compliance, Platform, Technology, and third-party vendors Required Education, Licenses, Qualifications and Technical Skills: •Active FINRA Licenses: Series 7, Series 24, Series 63 or 66 or able to obtain Series 24 within the first 6 months of employment start date •An undergraduate degree or equivalent professional experience •Microsoft and Adobe Suite Expected base pay rates for the role will be between $80,000 and $125,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).

Job: *Operational Risk

Title: AVP U.S. Banks Business Risk Marketing and Communications Review and Registration Oversight

Location: New York-New York

Requisition ID: 3255180

Other Locations: Americas-United States of America-New York-Purchase