Legal Entity Regulatory Governance Vice President jobs in United States
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Morgan Stanley · 2 weeks ago

Legal Entity Regulatory Governance Vice President

positionNew York, NY
timeFull-time
remoteOnsite
seniorityMid, Senior Level
money$120K/yr - $205K/yr
date5+ years exp

Morgan Stanley is a leading global financial services firm that helps clients raise, manage, and allocate capital. The Legal Entity Regulatory Governance Vice President will oversee governance and controls for U.S. legal entity and FHC regulatory reporting, ensuring robust governance across various financial processes.

Asset ManagementFinanceFinancial ServicesLending

Responsibilities

Oversee governance and controls for U.S. legal entity and FHC regulatory reporting, including data and controls Attestation frameworks, New Product approval and Capital interpretations
Steer governance forums and processes, such as the SEC/CFTC Capital Interpretations Committee and CCAR CFO Attestation
Provide analysis and advisory support for new product approvals, booking model changes, regulatory initiatives, and new trades, collaborating closely with Legal Entity regulatory experts
Partner with the 2nd/3rd lines of defense supporting ICOC compliance and FINRA certification requirements
Review and update certain regulatory reporting policies
Identify and assess potential risks as part of Non-Financial Risk Assessments process
Lead strategic initiatives and governance projects across Legal Entity Controllers and FHC Regulatory Reporting teams globally

Qualification

Risk assessment methodologiesRegulatory reportingGovernance controlsAnalytical skillsStakeholder managementFinancial products knowledgeMS Office proficiencyDigital tools proficiencyCommunication skillsOrganizational skillsSelf-motivated

Required

Strong organizational skills with experience managing timelines, deliverables and stakeholders
Advanced analytical and problem-solving skills
High risk awareness and good guardianship skills
Knowledge in Risk assessment methodologies, internal controls, regulatory reporting or financial products
Excellent verbal and written communication skills
Self-motivated; delivers quality work independently in a fast-paced environment
Proficiency in MS Office and Digital Tools, with ability to leverage AI solutions to improve efficiency
University degree (BS or BA) in accounting, finance, or a related discipline
5-7 years of work experience in a related field

Benefits

Commission earnings
Incentive compensation
Discretionary bonuses
Other short and long-term incentive packages
Other Morgan Stanley sponsored benefit programs

Company

Morgan Stanley

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Morgan Stanley is a financial services company that offers securities, asset management, and credit services.
dateFounded in 1935
location
New York, New York, USA
people-size10001+ employees
web-link
http://www.morganstanley.com

Funding

Current Stage
Public Company
Total Funding
unknown
1997-02-05IPO

Leadership Team

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James Gorman
Chairman and CEO
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Ted Pick
Chief Executive Officer (CEO)

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