VP, AI Compliance Officer

Were 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 Firms 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 youll 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 youll 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.
> Bachelors 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 thats differentiated and weve 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 - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll 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. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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TEXAS
Expected base pay rates for the role will be between $108000.00 and $185000.00 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: $95000 and $165000 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 units 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 to learn more about our benefit offerings.

Morgan Stanleys 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).