Compliance Officer (Legal and Compliance) : Job Level - Executive Director

Morgan Stanley•Dallas, TX

4d•$148,500 - $238,500

About The Position

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Executive Director level position within the Wealth Management Field Compliance engages with the Enterprise Compliance Platform Owner to align product strategy to Platform strategy. 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.

Requirements

Minimum 9.5 years of relevant experience across work and higher education.
5+ years of experience as a software business or systems analyst with track record of delivering new innovative web or mobile applications within an agile/scrum development process.
Proven track record of delivering successful digital products on time and within scope.
Experience working in an Agile development environment.
Excellent communication skills, including the ability to present complex information in a clear and concise manner.
Ability to collaborate effectively with cross-functional teams and stakeholders at all levels of the organization.

Nice To Haves

BA or BS preferred, but not required

Responsibilities

Work with stakeholders and the squad leadership team to set priorities - including funding, resourcing and sequencing of deliverables - to address Product goals and prioritized Outcomes.
Own the annual book of work and Technology budget ask, separating mandatory work from discretionary enhancements, and escalate trade-off decisions when the full book of work exceeds approved funding.
Represent the product through LCD Transformation governance, IBRs and annual Outcome planning.
Full ownership of the data assets that power the product: understanding how data is captured, structured, derived and transformed; stewarding functional data models and curated datasets; maintaining visibility into analytical and decision models that rely on that data.
Ensure governance over EUCs and manual processes.
Maintaining comprehensive inventory and documentation of all owned assets to support transparency, data quality, lineage and regulatory expectations.
Chair the firmwide complaint coordination forums and maintain standing partnerships across Wealth Management, U.S. Banks, ISG, Investment Management and the Americas, EMEA, APAC and Japan - including region-friendly sessions for APAC and Japan. Arbitrate competing regional and BU requests against one shared backlog.
Partner with NFR Technology, LCD Innovation, BU Risk, Legal and Operations, and serve as the business point of contact for Internal Audit, Compliance Testing and external audit requests.
Maximize product value through a transparent backlog managed to firm and fleet standards; define product vision, quarterly and sprint goals and metrics; provide requirements and acceptance criteria to the definition of ready; conduct UAT and sign-off; enforce documentation as part of the definition of done.
Direct the Product Owner Proxy/Manager and Business Analyst, who perform delegated responsibilities and oversee day-to-day squad execution in partnership with the Scrum Master.