Regulatory Relations Oversight, Director, Regulatory Relations

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking securities investment management and wealth management services. The Firms employees serve clients worldwide including corporations governments and individuals from more than 1200 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.

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 Firms 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) and 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 Stanleys 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 - Mumbai (LCD CoE) is a part of Morgan Stanleys Global In-house Center which provides global support to LCD and is an integral part of Firm and LCD strategy.

Team: Regulatory Relations Oversight

The Global Regulatory Relations Group (Regulatory Relations) provides strategic and centralized management of the supervisory activities of the Firms regulators and related developments globally focusing on regulatory reviews examinations and continuous monitoring activities.
Regulatory Response Oversight (RRO) function is responsible for oversight tracking and reporting to the senior management internally within Regulatory Relations and to Enterprise Regulatory Oversight Committee (EROC) regarding remediation of the regulatory findings.
RRO ensures all findings issues and remediation actions are inputted into Firms required databases and closed timely. RRO engages with stakeholders on the process including regional Regulatory Relations exam teams issue owner(s) and owner of Firm systems - and provides the necessary level of reporting / metrics. Primary Responsibilities (Day Job)

Assisting with the management and coordination of aspects of regulatory examinations by regulators in regions (e.g. logging info requests; creating request templates; creating shell decks for regulatory meetings; preparing responses to regulatory requests; reviewing documents for submission)
Work with regional Regulatory Relations teams to provide guidance on entries in OpenPages; also ensure all global findings to the extent possible are tracked in a consistent fashion in the Firm system
Oversee enter and manage regulatory issues and action plans in the Firms issue tracking system and track status; includes interacting with key inter-departmental stakeholders regarding remediation activities
Production of RRO reporting and metrics for steering committees EROC and related working group meetings and Board meetings
Production of various internal reports re exams (e.g. monthly senior management reports; internal trackers and ad-hoc reports) and maintain key internal metrics as well as communicate with key stakeholders including senior management in LCD business and risk regarding exam status and findings
Provide guidance training/ support and address queries regarding the issues and actions management systems (OpenPages Global Search Tool (GST)) to internal and external parties using technology tools
Manage the migration and development of new processes and standards for the RRO function including updating relevant procedures
Lead the GRRG technology initiatives independently including IBM Open Pages - Global Regulatory Assessment Management System (GRAMS) and Issues and Actions GST and all future technology initiatives

Requirements

Experience

Bachelors Degree required with 7 years of related experience
Knowledge

Basic understanding of and familiarity with financial services industry preferred
Should be comfortable working with technology and display proficiency on technical systems and programs.
Strong office productivity tools skills (Excel PowerPoint Visio SharePoint Word)

Skills and Qualities

Experience in a financial services organization and/or a management consulting firm with regulatory project experience preferred
Understanding of and familiarity with financial services industry (knowledge of audit compliance or regulatory processes preferred)
Outstanding communication and interpersonal skills ability to work effectively with all levels of the organization
Ability to quickly grasp key concepts multitask flexible manage quick demands change of priorities and ownership of deliverables
Ability to understand and manage multiple priorities and escalate where appropriate
Keen attention to detail and desire to take final ownership of deliverables
Strong quantitative and qualitative analytical skills
Strong planning and organization skills
Experience in managing a team is a plus
Experience using IBM OpenPages is a plus

Coverage

Monday to Friday from 1.30PM to 10.30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds talents perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting developing and advancing individuals based on their skills and talents.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley we raise manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll find an opportunity to work alongside the best and the brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds talents perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting developing and advancing individuals based on their skills and talents.