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Vice President – Regulatory Program Control & Policy - Operations
Morgan Stanley
New York, NY, United States
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Description
The LEGDO Regulatory Program Support Team Lead Analyst will be responsible for managing a team of Analysts that partner with Legal and Compliance and Risk Management teams to interpret regulatory policies and translate them into operational rules and procedures that define the client scope, the data and document requirements that fulfill the policy, and what is required to maintain compliance with the policy over time. providing run-the-bank (RTB) process and procedural support to LEG Management and Staff.
Duties will include but are not limited to the following:
• Lead and supervise a team of policy subject matter experts who partner with Legal and Compliance, LEGDO Management and Risk Management to operationally interpret policies relevant to ISG businesses, including global and local AML/KYC policies, and other regulations that leverage party reference data, such as MIFID, EMIR, FATCA, etc.
• Partner with Change and CRD IT to develop policy requirements and functional specifications, plan and prioritize development and implementation of policy rules, and coordinate testing and implementation globally across LEGDO.
• Create governance framework and lead for Data Ops and Legal and Compliance
• Define and manage the policy change management process, ensuring that changes and enhancements are incorporated into rules and procedures
• Provide advisory support for the KYC onboarding and DDR teams globally, serving as the liaison with central GFC team for ongoing guidance and interpretation questions.
• Develop procedural standards, leveraging the common rules and workflow architecture of the Pipe to streamline and simplify procedures.
• Coordinate training on new policies and procedures as required.
• Assess and quantify the impact of new policies and amendments to existing policies leveraging A2 data.
• Design and implement controls and exception reports required to monitor ongoing compliance with policy rules
• Leverage A2 data to define and ring fence populations requiring remediation via DDR or other remediation projects.
• Face-off with senior managers in IT, Business Units, Compliance, and Risk.
• Proactively identify, analyze/quantify, and articulate the impact of risk and develop/execute action plans in Open Pages.
• Perform user acceptance testing for enhancements to technology-based processes, controls, and applications.
• Strong working knowledge of reference data concepts, and the application of business rules in a operational context
• Strong background in compliance policies impacting and client onboarding regulations such as AML/KYC, MIFID, EMIR and Dodd Frank.
• Experience managing global teams and working in a global environment.
• Experience with methodologies in business process and organizational redesign experience.
• Demonstrated experience successfully implementing change in organizations for enterprise-wide and/or cross-functional large scale initiatives.
• Excellent analytical and problem solving capabilities. Includes problem structuring, analysis and ability to translate information into actionable implications and recommendations.
• Facilitation, negotiation and influencing skills. Proficiency in negotiating priorities and resolving conflicts among project stakeholders. Able to influence others and function effectively in a collaborative work environment. Works successfully with multidisciplinary teams.
• Excellent written and verbal capabilities. Communicates effectively with business, technology, and senior audiences.
• Strong organizational skills. Prioritizes and manages multiple priorities and meeting deadlines.
• Intermediate to advanced Microsoft Office Applications (MS Excel, MS Access, MS Project, MS Word, MS Powerpoint, Outlook)
Qualifications
• Bachelors degree or advanced
• Business process redesign experience.
• Lean Six Sigma Certification, or other process improvement discipline (Desired)