Recordkeeping, Outsourcing and Vendor Management Compliance Officer

Posted on Dec 11, 2018 by Morgan Stanley USA

New York, NY 10001
Legal
2 Dec 2018
Annual Salary
Full-Time
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 ethics. 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 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.

Background on the Team

The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.
    Books and Records Coverage Help manage the Firm's Compliance program in relation to US record keeping requirements, primarily focusing on the US broker-dealers, Futures Commission Merchant and Swap Dealers Work with the Compliance Testing Teams in connection with recordkeeping assessment and testing (e.g., Exchange rules, Qualified Financial Contract rules, and Securities-based Swap Dealer rules) Coordinate and track remediation of any identified recordkeeping gaps Help define and implement the Firm's Information Management Lifecycle program Provide Compliance coverage in connection with new business initiatives, new rule implementations and remediation projects Cover relevant exams, inquiries and enforcement actions Collaborate with Compliance testing groups Help develop and conduct regulatory training, including regarding regulatory changes Provide ancillary coverage of Technology and Business Contingency Management


Infrastructure Compliance
The Infrastructure Compliance Group (the "Group") provides Compliance coverage in infrastructure areas including outsourcing and recordkeeping.

Position Description
This Vice President role will include Compliance coverage of the recordkeeping, outsourcing and vendor management, as well as other ancillary coverage areas.

Responsibilities include:
· Outsourcing and Vendor Management Coverage
o Help develop and implement an enhanced comprehensive global Compliance coverage program
o Assist in overseeing global review and clearance by Compliance of outsourcing engagements and conduct reviews in the Americas
· General and Ancillary Coverage

      Provide Compliance coverage in connection with new business initiatives, new rule implementations and remediation projects
      Cover relevant exams, inquiries and enforcement actions
      Collaborate with Compliance testing groups
      Help develop and conduct regulatory training, including regarding regulatory changes
      Provide ancillary coverage of Technology and Business Contingency Management



Qualifications:

Skills Required

    At least 7 years of experience in broker-dealer or banking compliance, or similar role involving risk management and oversight. Experience in recordkeeping, outsourcing, vendor management or related functions Strong regulatory background, including working knowledge of the relevant Broker Dealer and Swap Dealer requirements under the Securities Exchange Act, FINRA Rules, and the Commodities Exchange Act Superior proactivity in execution and organization, emphasizing pragmatism with ability to manage risk, prioritize and execute to timely complete tasks Strong oral and written communication skills Track record in building strong interpersonal relationships and teamwork Bachelor's degree or higher FINRA licenses preferred


Recordkeeping, Outsourcing and Vendor Management Compliance Officer

Reference: 597344320

Similar Jobs

Compliance Officer - Alternatives

New York, NY

The Goodkind Group

Compliance Product Officer - CIB

New York, NY

Citi-US