Legal Entity Regulatory Governance Vice President jobs in United States
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E*TRADE from Morgan Stanley · 1 month ago

Legal Entity Regulatory Governance Vice President

positionNew York, New York, United States of America
timeFull-time
remoteOnsite
seniorityMid, Senior Level
money$120K/yr - $205K/yr
date5+ years exp

E*TRADE from Morgan Stanley is seeking a Legal Entity Regulatory Governance Vice President to oversee governance and controls for U.S. legal entity and FHC regulatory reporting. The role involves managing governance controls, strengthening the firm's control environment, and collaborating with key stakeholders to enhance operational effectiveness.

BankingFinanceFinancial Services

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

Regulatory reportingRisk assessment methodologiesGovernance controlsAnalytical skillsStakeholder managementFinancial products knowledgeMS Office 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

Some of the most attractive and comprehensive employee benefits and perks in the industry

Company

E*TRADE from Morgan Stanley

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E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry.
dateFounded in 1982
location
Arlington, Virginia, USA
people-size1001-5000 employees
web-link
https://us.etrade.com/home

Funding

Current Stage
Public Company
Total Funding
unknown
2020-02-20Acquired
1996-08-16IPO

Leadership Team

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Julia Miller
Executive Director, Creative Services
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