Compliance Information Controls Group

Posted on Dec 10, 2018 by Morgan Stanley USA

Baltimore, MD 21201
Legal
3 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 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.
Responsibilities

The Firm conducts monitoring of electronic communications on a global basis to comply with regulatory obligations and to mitigage operational risk. The E-communications Supervision Program is overseen by the Managing Director of the Compliance Information Controls Group, which sits within Global Compliance, reporting directly to the Chief Compliance Officer. The E-communications Supervision Compliance Manager will Interact with global counterparts in the business units and Compliance to ensure smooth functioning of the program. The employee will coordinate with Technology peers and technology vendors regarding the system used for e-communications supervision, including gathering business unit feedback, developing the reporting related to the tool, and substantive maintenance of enhancement requests. The job will also entail assisting with day-to-day administration of the e-communications supervision program, such as assisting with entitlements requests, answering questions concerning monitoring, and assisting with Internal Audit, regulatory and Litigation requests. The Manager will also interact with peers at other Firms and industry groups, such as SIFMA, regarding e-communications supervision practices.

Qualifications:

College degree required. Experience with or strong interest in technology and project management experience preferred. Compliance Information Controls Group

Reference: 598336494