Morgan Stanley
Client Segment Risk Conduct, Controls & Governance - Control Design - Vice President
$115K–$190K
Purchase, New York · On-site · Director · Full-time · Posted Sep 25, 2026
- Experience
- Ten or more years.
- Education
- Bachelor's Degree or equivalent.
About the job
Designs and implements supervisory controls to reduce client and firm risks from sales practice misconduct, policy violations, product risk, and investment risk.
What you'll do
- Assess the effectiveness and efficiency of existing controls and identify, prioritize, and implement enhancements, including AI solutions where appropriate.
- Analyze regulatory rules, internal policies, guidelines, and data to design improvements to supervisory controls.
- Coordinate with stakeholders and present proposed enhancements to working groups and governance committees.
What they ask for
- 10 or more years of experience in Risk Management, Legal, Compliance, or other broker-dealer or financial services roles providing expertise in supervision of sales practice conduct, product risk, and investment risk.
- Strong verbal and written communication skills, including presentation experience; strong quantitative and analytical skills.
- Proficiency in MS Office, PowerPoint, Excel, Dataiku, and Tableau.
Nice to have
- Series 7, 66 (or 63 & 65), and 24 (or 9 and 10).
Pay
$115,000 and $190,000 per year (USD, base salary)
Tools
MS Office, PowerPoint, Excel, Dataiku, Tableau
AI focus
Identify control enhancements, including AI solutions where appropriate.
Model-written summary · the original posting is authoritative