Morgan Stanley's Bank Compliance ("BC") Department seeks a Marketing Compliance Lead to focus on marketing and advertising compliance reviews for cash management and consumer (non-mortgage) lending products offered by Morgan Stanley's U.S. Banks. This position will cover key areas of consumer protection and regulatory focus related to marketing and advertising. This includes, but is not limited to, coordinating and executing the review and approval of internal and external marketing and advertising materials, internal educational materials and general product-related communications. This candidate will also provide bench strength for advice and guidance on consumer (non-mortgage) product-related compliance initiatives.
Primary Responsibilities: · Lead compliance contact for matters related to BC's review of cash management and consumer (non-mortgage) lending products marketing materials. · Provide compliance guidance on cash management and consumer (non-mortgage) lending products marketing materials by: (i) assessing compliance with U.S. banking laws, regulations, rules and official guidance; (ii) engaging BC product compliance subject matter experts in the review process; (iii) communicating and documenting guidance resulting from the review; and (iv) reporting volumes, trends, efficiencies identified and implemented. · Maintain the Universal Disclosure Guide for cash management and consumer (non-mortgage) lending products marketing materials. · Establish and maintain a partnership with the Private Banking Group Legal Department and the Wealth Management Compliance Department. · Collaborate with the Private Banking Group's Business Development units, Product Development, Marketing, and control/support functions to evaluate current processes and identify/pursue opportunities for improvement in marketing-related activities. · Participate in training related to marketing activities. · Help draft and review marketing-related training materials and policies and procedures related to marketing and advertising compliance. · Assist with special projects, as requested.
Skills Required (Essential) · Bachelor degree and 5-7 years of relevant industry or business experience. · Proficient in consumer protection rules and regulations, including but not limited to UDAAP and Fair Lending. · Demonstrated ability to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations. · Proven ability to develop and maintain strong, positive relationships with a variety of business lines and support functions. · Experience working on, or supporting, marketing or sales-related projects/strategies. · Excellent oral and written communication skills. · Ability to operate effectively and independently in a fast-paced, deadline oriented, changing environment .*LI-SH Skills Desired · Marketing compliance experience · Strong work ethic and drive · Integrity and ethical leadership · Team-orientation · Knowledge of cash management and consumer (non-mortgage) lending products · CRCM *LI-SH1
Internal Number: 5846582
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