ISG Compliance Director

The U.S. ISG Core Compliance Team within ISG Americas Compliance is responsible for several functions including: (i) assisting Compliance Coverage personnel with maintaining and updating ISG Compliance policies and procedures, preparing the monthly NFR Policy Bulletin and creating the Annual Policy Plan; (ii) monitoring regulatory developments from U.S. securities and futures regulators and self-regulatory organizations; (iii) maintaining an updated inventory of prioritized rules and regulations for certain key jurisdictions and business lines for U.S. ISG; (iv) facilitating the preparation and filing of the Firm's Annual Compliance Reports (CFTC, SEC, FINRA) including all underlying processes and certifications; (v) facilitating the development and delivery of the department's Annual Training Plan; (vi) coordinating certain initiatives and programs for ISG including the annual review of SEC, FINRA and NFA Priorities Reports, the Lessons Learned program, the Client Complaints program, the annual Collateral Netting and Enforceability Policy review, the annual LM-10/Form 5500 Verification, Gift & Entertainment initiatives and the Cross-Border framework; and (vi) coordinating and executing on governance-related activities for the department.

In addition, as needed, the U.S. ISG Core Compliance Team assists in the Firm's implementation of new regulatory requirements or other projects.

This role will provide project management support for the CFTC, SEC and FINRA Annual Compliance Report programs and related certification processes for ISG's Swap Dealers (SD), Security-Based Swap Dealers (SBSD), Futures Commission Merchant (FCM), and Broker-Dealers (BD) as well as assistance with the Rules Management function and other U.S. ISG Core Compliance processes. The candidate will be part of a dynamic team of compliance professionals and will work with colleagues across LCD, ISG and Shared Services in Mumbai, EMEA and Singapore.

What you'll do in the role:

- Program management support to facilitate the production of ISG's Annual Compliance Reports for 11 legal entities across 4 regulatory programs and their related sub-certification processes
- Assist with the development and execution of an Annual Reports global project plan with high-level task, designated owners, key milestones and deliverables
- Organize and facilitate meetings between divisional stakeholders and Compliance Coverage
- Oversee the quarterly collection, consolidation and distribution of data inputs across various functions (i.e. internal testing, regulatory exams) to Compliance Coverage and Business Units
- Facilitate the preparation of meeting materials utilizing standardized presentation templates and review content to ensure consistency across divisions where appropriate
- Oversee the execution of the annual outreach to identify new or materially changed policies and procedures, a resource allocation survey and technology system survey
- Assist with the drafting, review, consolidation and filing of the Annual Compliance Reports
- Manage team shared drives, Teams channels and information stored in the Firm's documentation repository
- Assist with processing regulatory changes in the Firm's rules management system, distributing targeted alerts concerning items of particular interest to relevant Compliance Coverage personnel and metrics reporting
- Assist with the annual review of the Basel Program Netting and Collateral Enforceability Policy and related procedures
- Assist with the implementation of new regulatory requirements or other projects

What you'll bring to the role:

- Strong communication, presentation and project management skills
- Candidate must be self-motivated, independent and organized with exceptional attention to detail
- Ability to coordinate and execute time-sensitive projects against plans
- Strong inter-personnel skills with a focus on developing relationships across the Firm
- Ability to project confidence and professionalism in dealings with business personnel
- Proficient in Microsoft Office (Word, PowerPoint, Excel, Teams)

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, f