What are the responsibilities and job description for the VP, AI Compliance Officer position at Morgan Stanley?
We're seeking someone to join our team as a Vice President, Artificial Intelligence Compliance Officer in Wealth Management Compliance to provide second-line oversight, advisory support, and governance for Artificial Intelligence initiatives, including Generative AI, partnering closely with senior business, legal, risk, and technology stakeholders to enable responsible innovation while meeting regulatory and firm requirements.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Innovation, Platforms and Communications Compliance team, which is responsible for providing compliance advice, governance, and oversight for analytics, data, artificial intelligence, generative AI, and platforms activities within Wealth Management.
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.
What You'll Do In The Role
> Advise Wealth Management Generative AI and Platforms teams on AI governance, strategy, data usage, and oversight requirements.
> Review Artificial Intelligence and Machine Learning models and Generative AI, to assess compliance with regulatory rules related to Artificial Intelligence, Consumer Protection, Standards of Care, and Communications with the Public.
> Assess AI against heightened risk considerations, including conflicts of interest, and recommend appropriate controls and mitigations.
> Establish and support ongoing monitoring and testing controls in coordination with Compliance Monitoring and Testing teams.
> Collaborate with Policy and Training teams to draft, implement, and maintain compliance policies and training governing the use of AI technologies.
> Participate in Wealth Management, Firmwide, and Compliance governance committees and forums.
> Prepare management reporting, metrics, and dashboards to inform senior management of key initiatives, risks, and control effectiveness.
> Support regulatory inquiries, internal audits, and examinations (e.g., SEC, FINRA, Internal Audit), including remediation and post-exam action plans.
What you'll bring to the role:?
> Ability to provide compliance advisory support in a second line of defense role for platforms artificial intelligence, and Generative AI initiatives.
> Understanding of regulatory requirements, industry standards, and firm policies related to Artificial Intelligence, predictive analytics, and communications with the public.
> Experience reviewing and assessing traditional Artificial Intelligence, Generative AI and Large Language Models.
> Experience collaborating with business, legal, risk, technology, and model risk management stakeholders.
> Strong analytical, organizational, and attention-to-detail skills, with the ability to manage multiple priorities in a fast-paced environment.
> Demonstrate capacity to work independently and make informed decisions.
> Bachelor's degree in Business, Computer Science, Engineering, Statistics, Mathematics, Risk Management, or a related field.
Typically, 8 years' relevant experience would generally be expected to find the skills required for this role
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.
TEXAS
Expected base pay rates for the role will be between $108,000.00 and $185,000.00 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.
MARYLAND
Salary range for the position: $95,000 and $165,000 per year The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.
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).
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Vice President level position within the Innovation, Platforms and Communications Compliance team, which is responsible for providing compliance advice, governance, and oversight for analytics, data, artificial intelligence, generative AI, and platforms activities within Wealth Management.
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.
What You'll Do In The Role
> Advise Wealth Management Generative AI and Platforms teams on AI governance, strategy, data usage, and oversight requirements.
> Review Artificial Intelligence and Machine Learning models and Generative AI, to assess compliance with regulatory rules related to Artificial Intelligence, Consumer Protection, Standards of Care, and Communications with the Public.
> Assess AI against heightened risk considerations, including conflicts of interest, and recommend appropriate controls and mitigations.
> Establish and support ongoing monitoring and testing controls in coordination with Compliance Monitoring and Testing teams.
> Collaborate with Policy and Training teams to draft, implement, and maintain compliance policies and training governing the use of AI technologies.
> Participate in Wealth Management, Firmwide, and Compliance governance committees and forums.
> Prepare management reporting, metrics, and dashboards to inform senior management of key initiatives, risks, and control effectiveness.
> Support regulatory inquiries, internal audits, and examinations (e.g., SEC, FINRA, Internal Audit), including remediation and post-exam action plans.
What you'll bring to the role:?
> Ability to provide compliance advisory support in a second line of defense role for platforms artificial intelligence, and Generative AI initiatives.
> Understanding of regulatory requirements, industry standards, and firm policies related to Artificial Intelligence, predictive analytics, and communications with the public.
> Experience reviewing and assessing traditional Artificial Intelligence, Generative AI and Large Language Models.
> Experience collaborating with business, legal, risk, technology, and model risk management stakeholders.
> Strong analytical, organizational, and attention-to-detail skills, with the ability to manage multiple priorities in a fast-paced environment.
> Demonstrate capacity to work independently and make informed decisions.
> Bachelor's degree in Business, Computer Science, Engineering, Statistics, Mathematics, Risk Management, or a related field.
Typically, 8 years' relevant experience would generally be expected to find the skills required for this role
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.
TEXAS
Expected base pay rates for the role will be between $108,000.00 and $185,000.00 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.
MARYLAND
Salary range for the position: $95,000 and $165,000 per year The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.
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).
Salary : $95,000 - $165,000