Legal Entity Regulatory Governance Vice President
About The Position
The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firm's books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley's various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley's various businesses and its senior management team. Team Profile: The FHC & U.S. Legal Entity Regulatory Governance team works across Finance, Business Units, Legal and Compliance, Risk and other key stakeholders to provide governance and control oversight for FHC and U.S. broker-dealer and swap-dealer regulatory reporting. This is a Vice President level position within the Risk, Assurance, Governance & Control job family which provides oversight and monitoring of operational risk or third party/outsourcing for the global Finance division. Validation and testing of financial and regulatory reports. Also may include responsibility for control and governance reinforcing regulatory requirements, policies and procedures. Includes FinRiA and functional Risk leads. The ideal candidate will manage governance controls and will play a key role in strengthening the firm's control environment, ensuring robust Legal Entity governance across product approvals, booking model changes, regulatory reporting and capital processes. This individual will partner with key stakeholders and will work cross-functionally to solve issues, evaluate risks, enhance controls and drive strategic initiatives that improve overall governance and operating effectiveness. The individual must be comfortable to step into an evolving organization, be a strategic partner and execute within tight timelines.
Requirements
- Strong organizational skills with experience managing timelines, deliverables and stakeholders
- Advanced analytical and problem-solving skills
- High risk awareness and good guardianship skills
- Knowledge in Risk assessment methodologies, internal controls, regulatory reporting or financial products
- Excellent verbal and written communication skills
- Self-motivated; delivers quality work independently in a fast-paced environment
- Proficiency in MS Office and Digital Tools, with ability to leverage AI solutions to improve efficiency
- University degree (BS or BA) in accounting, finance, or a related discipline
- 5-7 years of work experience in a related field
Responsibilities
- Oversee governance and controls for U.S. legal entity and FHC regulatory reporting, including data and controls Attestation frameworks, New Product approval and Capital interpretations
- Steer governance forums and processes, such as the SEC/CFTC Capital Interpretations Committee and CCAR CFO Attestation
- Provide analysis and advisory support for new product approvals, booking model changes, regulatory initiatives, and new trades, collaborating closely with Legal Entity regulatory experts
- Partner with the 2nd/3rd lines of defense supporting ICOC compliance and FINRA certification requirements
- Review and update certain regulatory reporting policies
- Identify and assess potential risks as part of Non-Financial Risk Assessments process
- Lead strategic initiatives and governance projects across Legal Entity Controllers and FHC Regulatory Reporting teams globally
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
