Legal and Compliance Division Profile
Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes, Operational Risk and Regulatory Relations. Compliance, Global Financial Crimes and Operational Risk are together referred to as Non-Financial Risks (NFR)
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.
Operational Risk refers to the risk of financial or other loss, or potential damage to a firm's reputation, resulting from inadequate or failed internal processes, people, systems, or from external events. Operational Risk Department (ORD) defines the framework, standards, and governance for Operational Risk for the Firm, and implements and monitors the company-wide operational risk program. ORD works with the business units and control groups to help ensure Morgan Stanley has a transparent, consistent, and comprehensive program for managing operational risk, both within each area and across the firm globally.
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 - Mumbai (LCDCoE) 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.

LCD's Enterprise Non-Financial Risk (ENFR) is seeking a dynamic and high performing Vice President in Mumbai, India to lead a team of professionals working on NFR agile squads focusing on technology implementation, data and process governance.

The Non-Financial Risk Rules Management Office (Rules Management Office) is responsible for managing the Legal and Compliance Division's rules management framework and maintaining the Firm's rules management system, called Themis. The Global Policy Office (Policy Office) supports policy governance across the Firm.This role will lead rules management and policies teams in Mumbai fulfilling their responsibilities, especially concerning aspects of these responsibilities that involve online and technology tools and leverage Morgan Stanley platforms, including:
Themis, the Firm's Rules Management System
Related Rules Management Reporting: Cognos reports, Tableau Dashboards
Integrations with other NFR software tools
Use of vendor hosted content: Thomson Reuters Regulatory Intelligence
PolicyPortal, the Firm's Policy site
Quark, a content authoring tool integrated with PolicyPortal.

Primary Responsibilities

Perform business analysis activities for Themis and PolicyPortal/Quark application development, holding user requirement sessions, drafting business requirements, writing, and grooming user stories, and participating in system design discussions.
Write test cases, conduct user acceptance testing and perform release planning.
Configure application reference data and changes to reference data (system masters).
Troubleshoot production bugs and issue investigation with the L1 support team for Themis and PolicyPortal/Quark. Co-ordinate with technology team for issue investigation
Ensure system user manuals, training materials, support procedures, and other documentation used by the Product team are up to date.
Identify opportunities for, and support adoption of, process enhancements to Themis or PolicyPortal/Quark
Contribute to strategic projects, including but not limited to, those focused on integrating systems across the NFR governance, risk, and compliance platform.
Manage the system support model, including use of ServiceNow ticketing platform.
Perform system governance activities such as entitlement reviews or periodic data clean-up exercises.
Additional tasks as needed or requested.
Manage team performance and deliverables. Coach, mentor and train team members.
Manage staff members who work with other NFR application squads, such as OpenPages. As manager, this role will serve as an escalation point for personnel issues and will require some familiarity with other teams' remits and deliverables.

Requirements

Skills required (essential)
10+ years of experience in Compliance and/or financial services industry
5+ years of experience project management / business analysis activities using Agile methodology for software development lifecycle (SDLC)
Prior experience managing staff.
Ability to prioritize and work effectively on multiple reviews with different individuals at the same time.
Ability to work independently, as well, as in a team.
Ability to work with staff of all levels across departments. Excellent written and oral communication skills
Creative problem-solver with high level of learning agility and initiative
Detail-oriented and organized with the ability to maintain attention to detail across multiple simultaneous projects.
Ability to analyze data and use numbers and quantitative arguments to inform strategic decisions.
Strong Microsoft PowerPoint, Excel, Visio Skills, and proficiency with IT systems generally
Skills Desired
Experience with data visualization software such as QlikView or Tableau is an advantage.
Experience working with offshore teams.

Coverage
Monday to Friday from 1:30 PM to 10:30PM India time with flexibility on standard working hours for time sensitive matters (may include India Public Holidays).
Periodic calls with AMER internal clients

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.