WM Risk, Marketing & Advertising Communications (MAC) - AVP level

  • Competitive
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • Morgan Stanley USA
  • 18 Mar 18 2018-03-18

WM Risk, Marketing & Advertising Communications (MAC) - AVP level

Company Profile:
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 ethic. 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.

Background on the Team:
The analyst will join Morgan Stanley Wealth Management's Risk Department as a member of the Marketing & Advertising Communications Review group. The candidate's primary responsibility will be reviewing communications created by various internal businesses and the Marketing Department to ensure they meet regulatory and the firm's standards for communications with the public.

Primary Responsibilities:

  • Day-to-day review and approval of marketing materials and advertisements for various internal businesses and the Marketing Department to ensure compliance with regulatory requirements, internal guidelines and other risk-related issues
  • Work directly and collegially with internal businesses, Marketing, Legal, Compliance and other Risk colleagues in a fast- paced environment while meeting tight deadlines
  • Review complex or high volume communications as needed
  • Review consolidated account reports, investment analysis tools output and other digital communications including but not limited to social media
  • Conversant in general investment issues, rules and regulations relating to advertising and marketing
  • Ability to interact efficiently and collegially with internal businesses and the Marketing Department. The candidate will need to successfully communicate required edits, the regulatory basis for the changes and be able to provide suggested alternatives to problematic language
  • The candidate will need to file applicable communications with FINRA using the AREF system


· Strong knowledge of the Investment Advisers Act of 1940 ("the Advisers Act") and subsequent No Action Letters, FINRA and SEC regulations related to advertising and communications with the public
· Experience with reviewing communications (e.g., marketing and advertising materials) in accordance with the Advisers Act, No Action Letters, FINRA Rule 2210, and SEC Rule 482
· Functional knowledge of investment products including but not limited to Mutual Funds, ETFs, UITs, etc.
· Functional knowledge of SEC and FINRA guidance related to digital investment advice and communications including but not limited to social media, investment analysis tools and consolidated account reporting
· Experience with reviewing consolidated reports (i.e. Consolidated Statements, Performance Reports, Investment Analysis Reports, Profit & Loss Summaries, Asset Allocation Reports, etc.)
· Strong verbal and written communications skills
· Team player with a track record of partnering with colleagues and mentoring junior employees
· Ability to prioritize and handle multiple tasks and be detail-oriented in a fast-paced, deadline driven environment
· Proficiency in MS Office applications (e.g., Word, Excel, PowerPoint)
Level of Education:
Bachelor's Degree required.

3+ years reviewing marketing and communications. 5+ years relevant work experience in the financial services industry in Legal, Compliance, Risk or related fields, or with a securities exchange or regulator
Experience reviewing SMA strategy material including performance composites a plus

Series 7 and 24 required.