Morgan Stanley
Legal Entity Regulatory Governance Vice President
Morgan Stanley, New York, New York, us, 10261
Department Profile
The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firm's books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley's various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley's various businesses and its senior management team.
Team Profile The FHC & U.S. Legal Entity Regulatory Governance team works across Finance, Business Units, Legal and Compliance, Risk and other key stakeholders to provide governance and control oversight for FHC and U.S. broker‑dealer and swap‑dealer regulatory reporting.
Role Overview This is a Vice President level position within the Risk, Assurance, Governance & Control job family which provides oversight and monitoring of operational risk or third‑party/outsourcing for the global Finance division. Validation and testing of financial and regulatory reports. Also may include responsibility for control and governance reinforcing regulatory requirements, policies and procedures. Includes FinRiA and functional Risk leads.
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
Qualifications
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
What you can expect from Morgan Stanley We have a track record of innovation and passion for unlocking new opportunities, we help our clients raise, manage and allocate capital. We do this by offering a wide range of investment banking, securities, wealth management and asset management services. All that we do at Morgan Stanley is driven by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. These aren’t just beliefs, they guide the decisions we make every day, ensuring we do what’s best for our clients, communities and more than 80,000 employees around the world. At the core of our success are the people who drive it — relentless collaborators and creative thinkers who are fueled by diverse thinking and experiences. Wherever you are in our 1,200 global offices, you’ll have the opportunity to work alongside the best and the brightest in an environment where you are empowered to achieve your full potential. We are proud to support our employees and their families at every point along their work‑life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
Compensation Expected base pay rates for the role will be between $120,000 and $205,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long‑term incentive packages, and other Morgan Stanley sponsored benefit programs.
Equal Employment Opportunity Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
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Team Profile The FHC & U.S. Legal Entity Regulatory Governance team works across Finance, Business Units, Legal and Compliance, Risk and other key stakeholders to provide governance and control oversight for FHC and U.S. broker‑dealer and swap‑dealer regulatory reporting.
Role Overview This is a Vice President level position within the Risk, Assurance, Governance & Control job family which provides oversight and monitoring of operational risk or third‑party/outsourcing for the global Finance division. Validation and testing of financial and regulatory reports. Also may include responsibility for control and governance reinforcing regulatory requirements, policies and procedures. Includes FinRiA and functional Risk leads.
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
Qualifications
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
What you can expect from Morgan Stanley We have a track record of innovation and passion for unlocking new opportunities, we help our clients raise, manage and allocate capital. We do this by offering a wide range of investment banking, securities, wealth management and asset management services. All that we do at Morgan Stanley is driven by our five core values: do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back. These aren’t just beliefs, they guide the decisions we make every day, ensuring we do what’s best for our clients, communities and more than 80,000 employees around the world. At the core of our success are the people who drive it — relentless collaborators and creative thinkers who are fueled by diverse thinking and experiences. Wherever you are in our 1,200 global offices, you’ll have the opportunity to work alongside the best and the brightest in an environment where you are empowered to achieve your full potential. We are proud to support our employees and their families at every point along their work‑life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
Compensation Expected base pay rates for the role will be between $120,000 and $205,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long‑term incentive packages, and other Morgan Stanley sponsored benefit programs.
Equal Employment Opportunity Morgan Stanley’s goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
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