Marketing Registered Principal / Social Media Specialist - Investment Management - Vice President

Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with more than 40 years of history, a presence in 24 countries, and a total of $1.5 trillion in assets under management as of March 31, 2024. MSIM strives to provide outstanding long-term investment performance, service and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations and individuals worldwide.

The Marketing Registered Principal / Social Media Specialist ensures that all social media communications and marketing materials comply with regulatory requirements, internal policies, and ethical standards. This role supports the firm’s risk management strategy by monitoring, reviewing, and approving content across digital platforms, and by following robust compliance procedures aligned with SEC, FINRA, and FTC guidelines.

The individual will primarily be responsible for reviewing social media content, videos, emerging digital media, internet and intranet sites, and mobile applications that promote thought leadership and the firm’s products and services. Additionally, the role includes reviewing and approving traditional marketing materials related to financial products and services. The specialist will collaborate closely with colleagues in Marketing, Product, Compliance, Legal, and IT, and assist with special projects, including the creation of PowerPoint presentations.

Principal Responsibilities

• Collaborate with Compliance, Legal, Marketing, IT, and other divisions to enhance MSIM’s social media compliance framework, including updates to policies, procedures, and monitoring technologies.
• Review social media activity of business users to ensure compliance with internal policies and regulations; escalate exceptions and communicate remediation steps.
• Train business users on social media compliance and disclosure rules; provide ongoing support and guidance.
• Escalate potential gaps and issues requiring corrective action to senior management and/or Distribution Advisory Compliance.
• Review and approve complex marketing materials; communicate required edits clearly and constructively, explaining the regulatory basis for changes to support effective and compliant communications.
• Interact efficiently with business project teams, investment professionals, and internal stakeholders.
• Stay current with securities laws, rules, and regulations applicable to advertising financial products and services.
• Assist with compliance training on marketing policies, procedures, and best practices; respond to examination and audit requests from internal and external parties.
• Share lessons learned and recommend enhancements to the Distribution Advisory Compliance Department.
• Assist with the maintenance and revision of compliance systems.
• Support special projects and other duties, including the creation of PowerPoint presentations.

Qualifications / Skills Required

• BA/BS degree in Finance, Business, Law, or a related field.
• Series 7 & 24 licenses required.
• 7-10 years of relevant experience
• Specialized regulatory compliance knowledge relevant to financial marketing, including:
  • FINRA Advertising Rules (2210, 2212, 2214)
  • Regulatory Notices (10-06, 11-39, 17-18, 19-31)
  • SEC Advertising Rules for Registered Investment Companies (482, 34b-1)
  • SEC Marketing Rule
  • GIPS advertising guidelines
  • Knowledge of international marketing regulations is a plus.
• Product knowledge across open-end funds, closed-end funds, separately managed accounts, offshore funds, ETFs, private placements, and ESG.
• Excellent writing and editorial skills.
• Ability to understand and communicate complex compliance standards and policies effectively; familiarity with data analysis tools and techniques is a plus.
• Strong ability to work independently and collaboratively with professionals across all levels of the organization.
• Proficiency in Microsoft Office and Adobe.
• Exceptional prioritization, multitasking, and attention to detail in a fast-paced, deadline-driven environment.
• Interest in and comfort with emerging communication technologies, both for internal collaboration and assessing marketing content in social media.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 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 beli