Job Description

Manager- ISG Americas Regulatory Policy and Strategy (Legal & Compliance)



Job Number: 3229457
POSTING DATE: Jan 10, 2023
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Refer to Position Description
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Senior Manager


DESCRIPTION
ISG Americas Regulatory Policy and Strategy

Division: Legal & Compliance

Location: Mumbai (NKP) Job Level: Manager

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.

Department Profile

Legal and Compliance

Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
Global Financial Crimes is responsible for the development and governance of the Firm\'s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG), Government, and Political Activities Compliance (GPAC) programs.
The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley\'s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

LCD Center of Excellence \xe2\x80\x94 Mumbai (LCD CoE) is a part of Morgan Stanley\'s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy

Background on the Team

The Regulatory Policy and Strategy Group within ISG Americas Compliance is responsible for, among other things: (i) facilitating the preparation and filing of multiple global Swap Dealer and Security-Based Swap Dealer (SBSD), Futures Commission Merchant (FCM) and Broker-Dealer regulatory Annual Compliance Reports; (ii) monitoring regulatory developments from U.S. securities and futures regulators and self-regulatory organizations; (iii) maintaining an updated inventory of prioritized rules and regulations for certain key jurisdictions and U. S. ISG business units; (iv) assisting LCD coverage personnel and business units to maintain, update and distribute ISG Americas Compliance policies and procedures; and (v) coordinating certain initiatives and programs for U.S. ISG (i.e., Cross-Border, Lessons Learned, Complaints Processing). In addition, as needed, the Group assists in the Firm\'s implementation of new regulatory requirements or other projects.


QUALIFICATIONS
Primary Responsibilities

The role will provide project management support for the CFTC, SEC and FINRA Annual Compliance Report programs and certification processes and management oversight of one local team member. The candidate will be part of a dynamic team of Compliance professionals and will work with colleagues across LCD globally.
Program management support to facilitate the production of Annual Compliance Reports for 10 legal entities across 4 regulatory programs and their related sub-certification processes
Assist with the development and execution of an annual global project plan with high-level task, designated owners, key milestones and deliverables
Manage the quarterly collection, consolidation and distribution of data inputs across various functions (i.e. internal testing, regulatory exams) to Compliance Coverage
Facilitate the preparation of meeting materials utilizing standardized presentation templates and review content to ensure consistency across divisions where appropriate
Manage an annual outreach to identify new or materially changed policies and procedures
Development and execution of an annual time/resource allocation survey and technology system survey
Assist with the drafting, review and consolidation of the Annual Compliance Reports
Develop metrics and other reporting materials for management
Manage team shared drives, SharePoint sites and information stored in the Firm\'s documentation repository
Assist with the Risk Control Self-Assessment process, the Compliance Risk Assessment and the ISG Americas Annual Compliance Plan

Other Responsibilities

Support the annual Collateral Management policy and related procedure refresh
Assist with incorporating Compliance manual content updates into the Firm\'s authoring tool
Assist with client complaint/escalation processing and metrics reporting
Assist with processing regulatory changes in the Firm\'s rules management system and monthly metrics reporting
Assist with tasks related to the Volcker certification process
Assist with the implementation of new regulatory requirements or other projects

Skills required (essential)

Professional with 4-6 years of experience in Compliance, Legal or regulatory roles relating to the financial services industry
General understanding of the financial industry and regulatory bodies
Project management experience
Strong organization skills and ability to manage time-sensitive projects against plans
Self-motivated with exceptional attention to detail
Strong communication skills, both written and verbal
Strong Microsoft Office skills required, specifically Word, Excel and PowerPoint
Comfortable learning additional systems and software applications
Strong sense of ownership regarding work product

Coverage

Monday to Friday from 1:30 PM to 10:30 PM. Coverage is dependent on business needs so flexibility on required finish time or full day\'s coverage may be required during some Indian holidays.