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Job Number:

3223735

DESCRIPTION

Company Profile

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 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.

Department Profile

Professionals within Legal and Compliance Division (LCD) provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses.

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 and 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.

Position Description

We are looking for a Compliance Professional to join Global Surveillance Strategy to manage Compliance’s Enhanced Conduct Oversight Program, a targeted oversight function aimed at bringing together indicators of potentially heightened risk, and execute the group’s broader strategic initiatives. In this role, the candidate will be responsible for contributing to the design, implementation, and execution of the Enhanced Conduct Oversight operating model. The candidate will also be responsible for execution of other strategic initiatives.

Key Responsibilities

• Support the Head of Enhanced Conduct Oversight in executing the program.

• Guide the work of Technology and LCD Data & Analytics in support of the program (e.g. informing data models, identifying model development opportunities)

• Ensure ontologies provide comprehensive conduct risk coverage and are available for machine ingestion and inference

• Utilize knowledge graph and other analytics to identify potential conduct risks to present to stakeholders

• Analyze compliance metrics and employee conduct to make data-driven decisions on optimizing knowledge graph data models

• Establish relationships and collaborate with stakeholder groups to execute and further the program, referring risks and action items as needed (i.e., Steering Committees, Governance Groups, Global Financial Crimes, Trade Surveillance, Communications Surveillance, Control Group, Conduct Risk, Coverage Compliance, Regulatory Enquiries, Legal / Litigation)

• Execute workstream associated with Enhanced Conduct Oversight, supporting quarterly processes and conducting supplemental analysis as required.

• Contribute to the evolution of the Enhanced Conduct Oversight operating model.

QUALIFICATIONS

Skills required (essential)

• Role relevant prior experience in managing Compliance data / technology initiatives.

• Experience with managing senior stakeholder relationships and collaborating cross-functionally with internal stakeholders.

• Excellent organizational skills, attention to detail, and proven ability to manage projects.

• Strong written and verbal communication skills, proven experience driving product decision making processes.

• Understanding of financial markets and businesses (in particular, Investment Banking / Capital Markets and / or Investment Management).

• Awareness of frameworks underpinning relevant legal, regulatory and franchise risks as well as conduct risks relevant to Morgan Stanley’s businesses.

• Team-oriented and demonstrated willingness to get into the weeds of a project.