Rules Management Program Associate - NFR - Associate

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. 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.

Department Profile
Professionals within Legal and Compliance (LCD) provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Background on the Team 

The Policy and Rules Management team contains two primary functions.  The Rules Management Central Team is responsible for managing the Legal and Compliance Division’s rules management framework and maintaining the Firm’s rules management system, called Themis.  The Global Policy Office (“Policy Office”) supports policy governance and maintains the firm’s repository for policies, procedures and related documents, called PolicyPortal.  

The successful candidate will work collaboratively with the Rules Management and Policy Office teams, the support team based in Mumbai, the technology teams who support related systems, and with members of local regulatory change tracking teams and policy teams both inside and outside LCD.     

Rules Management and Policies Responsibilities That This Role Will Support 

This role will support projects relating to the governance and QA of the Rules Management Program and the management and growth of the Themis rules inventory, which is a global inventory of prioritized laws, rules and regulations that create regulatory compliance obligations for the firm.   

Rules Management activities are performed by various teams across LCD. The Central Team has oversight for these activities.  As needs arise to add new teams within or outside of LCD to the Rules Management framework, the role will assist with extensive tasks to onboard the new team and their content into Themis. The role will also assist with various projects related to baselining rules inventories for teams’ respective jurisdictions and product or subject matter coverage and the maintenance of these rules inventories. Further, the role will work with the Global Policy Office and local LCD policy teams to assist with using the Themis rules inventory to support the policies program. 

Primary Responsibilities 

The tasks for the Rules Management Program Associate include: 

• Gathering evidence, preparing metrics, and communicating quarterly Quality Assurance observations to Rules Management teams  

• Performing analysis of a new Rules Management team’s content in relation to Themis system configuration data requirements 

• Project management activities: Creating a project plan, assigning and tracking open tasks, escalating issues, scheduling meetings, detailing notes and action items 

• For new rulebooks/jurisdictions to be added to the inventory, locating sections of relevant rulebooks when available from the vendor for download 

• Populating an Excel spreadsheet to tag rules to the firm’s subject matter and business unit taxonomies and working with the Themis support team in Mumbai to add the rules to the inventory. 

• Supporting the maintenance and updates needed to the Rules inventory within the Themis system 

• Coordinating with the Global Policy Office and local Legal and Compliance Department rules and policy teams to map rules to policy documents 

• Assisting with the rule-to-policy linkage maint