Compliance Officer - Surveillance Program Metrics and MI Reporting (VP) London, England
Morgan Stanley
Full Time
London, England
53000 - 65000 GBP ANNUAL Today
Job description
Compliance Officer - Surveillance Program Metrics and MI Reporting (VP)
Job Number:
3232000
POSTING DATE: Mar 1, 2023
PRIMARY LOCATION: Europe, Middle East, Africa-United Kingdom-United Kingdom-London
EDUCATION LEVEL: Bachelor's Degree
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Vice President
DESCRIPTION
Team Profile
The Global Surveillance Strategy Group is a versatile team of specialists responsible for centrally governing the ISG Trade Surveillance program, as well as identifying and executing strategic and transformative initiatives across the broader Legal and Compliance Division (LCD) Monitoring program. These initiatives generally aim to improve the effectiveness and efficiency of the division's risk monitoring functions, including the incubation and implementation of new and innovative methods and technologies. The Global Surveillance Strategy Group works closely with divisional monitoring functions (e.g., ISG Trade Surveillance, Investment Management Trade Surveillance, Wealth Management Monitoring, Information Controls, Global Financial Crimes), as well as LCD Data & Analytics, Technology, and reports directly to the Global Head of Monitoring and Testing for Compliance and Global Financial Crimes as well as the Global Head of ISG and IM Trade Surveillance.
This role will report to the Head of Trade Surveillance Governance.
Primary Responsibilities
> Manage the Surveillance Strategy Group metrics and reporting process to ensure comprehensive and consistent reporting to senior management, and in support of the Trade Surveillance Governance Framework
> Assist with the execution and enhancement of general program governance activities including leveraging metrics to enhance activities such as annual planning, capacity planning and risk assessments
> Enhance the governance for reporting, through documentation, tracking of risks and issues, project status and deliverables
> Coordinate with subject matter experts to source and analyse data, solicit commentary and facilitate root cause analysis of significant trends and patterns
> Design and prototype dashboards for use in management information, reporting and to facilitate improved investigative capabilities
> Review reports and present identified trends and key risk areas to senior management
> Perform recurring and ad-hoc analysis and metrics reporting for major initiatives
> Identify opportunities to improve existing or develop new processes, tools, metrics (for example KRIs / KPIs) and reporting solutions
The Global Surveillance Strategy Group is a versatile team of specialists responsible for centrally governing the ISG Trade Surveillance program, as well as identifying and executing strategic and transformative initiatives across the broader Legal and Compliance Division (LCD) Monitoring program. These initiatives generally aim to improve the effectiveness and efficiency of the division's risk monitoring functions, including the incubation and implementation of new and innovative methods and technologies. The Global Surveillance Strategy Group works closely with divisional monitoring functions (e.g., ISG Trade Surveillance, Investment Management Trade Surveillance, Wealth Management Monitoring, Information Controls, Global Financial Crimes), as well as LCD Data & Analytics, Technology, and reports directly to the Global Head of Monitoring and Testing for Compliance and Global Financial Crimes as well as the Global Head of ISG and IM Trade Surveillance.
This role will report to the Head of Trade Surveillance Governance.
Primary Responsibilities
> Manage the Surveillance Strategy Group metrics and reporting process to ensure comprehensive and consistent reporting to senior management, and in support of the Trade Surveillance Governance Framework
> Assist with the execution and enhancement of general program governance activities including leveraging metrics to enhance activities such as annual planning, capacity planning and risk assessments
> Enhance the governance for reporting, through documentation, tracking of risks and issues, project status and deliverables
> Coordinate with subject matter experts to source and analyse data, solicit commentary and facilitate root cause analysis of significant trends and patterns
> Design and prototype dashboards for use in management information, reporting and to facilitate improved investigative capabilities
> Review reports and present identified trends and key risk areas to senior management
> Perform recurring and ad-hoc analysis and metrics reporting for major initiatives
> Identify opportunities to improve existing or develop new processes, tools, metrics (for example KRIs / KPIs) and reporting solutions
QUALIFICATIONS
Skills required
> Professional experience in a Legal or Compliance role (or equivalent)
> Experience with metrics and management reporting
> Excellent Excel and PowerPoint presentation skills and be able to visually present trends/data in a concise and clear manner
> Strong written and verbal communication skills geared towards a senior management audience
> Excellent time management skills and ability to execute tasks within tight deadlines
> Outstanding interpersonal skills and team-player attitude, necessary to work effectively with colleagues across regions and business units
> Literacy in data visualization and analytics using Tableau
> Understanding of financial services industry
> Have strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
> Have keen attention to detail
> Have the ability to deal with ambiguity and define approaches to bring un-focused issues to resolution
> Have a strong sense of ownership and accountability for work product
> Be fluent with all MS Office tools, particularly Excel and PowerPoint
> SQL proficiency a plus
> Professional experience in a Legal or Compliance role (or equivalent)
> Experience with metrics and management reporting
> Excellent Excel and PowerPoint presentation skills and be able to visually present trends/data in a concise and clear manner
> Strong written and verbal communication skills geared towards a senior management audience
> Excellent time management skills and ability to execute tasks within tight deadlines
> Outstanding interpersonal skills and team-player attitude, necessary to work effectively with colleagues across regions and business units
> Literacy in data visualization and analytics using Tableau
> Understanding of financial services industry
> Have strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
> Have keen attention to detail
> Have the ability to deal with ambiguity and define approaches to bring un-focused issues to resolution
> Have a strong sense of ownership and accountability for work product
> Be fluent with all MS Office tools, particularly Excel and PowerPoint
> SQL proficiency a plus
