Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice President

{ "jobLocation" : { "@type" : "Place", "address" : { "@type" : "PostalAddress", "addressCountry" : "United States of America", "addressLocality" : "NY - 2000 Westchester Ave" } }, "hiringOrganization" : { "name" : "711 MS Smith Barney, LLC", "@type" : "Organization", "sameAs" : "" }, "identifier" : { "name" : "Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice President", "@type" : "PropertyValue", "value" : "PT-JR040977" }, "datePosted" : "2026-07-21", "employmentType" : "FULL_TIME", "title" : "Client Segment Risk Conduct, Controls & Governance Technology Enablement - Vice President", "description" : "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 ethics. 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. The Wealth Management Conduct, Controls & Governance team (“WM CCG”) within the Wealth Management Client Segment Risk organization is responsible for, among other functions, designing supervisory controls and processes to mitigate risks to clients and the Firm including, but not limited to, those arising from Financial Advisor (“FA”) sales practice misconduct and internal policy violations. The work CCG performs is in furtherance of the Firm’s discharge of its core values of putting clients first and doing the right thing. WM CCG is seeking to hire a Vice President to join the team focused on supervisory control design and implementation. Primary Responsibilities: Primarily responsible for working with senior leaders on the CCG team to further enhance MSWM’s supervisory control framework including but not limited to: Assessment of the efficiency and effectiveness of existing controls and processes Identification of enhancements to controls including AI solutions where appropriate Prioritization of control enhancement initiatives Implementation of control enhancements Coordination with key stakeholders in Technology, Platforms Legal, Compliance, WM Risk and other groups in furtherance of the design and implementing of control enhancements Role Focus Areas: Coordination with colleagues in CCG and Technology to define, draft, test, validate and finalize control design requirements and project management of the implementation of the requirements. Qualifications: Ten or more years of experience in implementing technology-based control or process enhancements including translating the concept for a process or control enhancement into business requirements documentation for use by Technology, Platforms and other groups, Hands-on familiarity with modern AI tools, architectures and implementation concepts including frontier large language models, model context protocols, AI agent and workflow orchestration, retrieval-augmented generation, embeddings, prompt engineering, context windows, tokens, model evaluation, guardrails, and the infrastructure required to integrate AI capabilities into governed business processes, along with Demonstrated ability to work effectively with technical teams in a business analyst capacity, across coding, data analysis, technology implementation, control logic development, test-case design, rules-based and model-based back-testing, false-positive and false-negative analysis, issue triage, performance monitoring, and documentation of testing outcomes to support governed deployment of supervisory controls and