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 maintenance activities, including performing analysis adding new or removing decommissioned rules and policy relationships 

Skills Required (essential) 

Candidates must have: 

• Undergraduate degree required 

• 1-3 years of experience in Compliance, Legal or regulatory roles relating to the financial services industry 

• Excellent written and oral communication skills 

• Creative problem-solver with high level of learning agility and initiative 

• Detail-oriented and organized with the ability to maintain attention to detail across multiple simultaneous projects  

• Ability to work with global and cross-functional teams spanning Legal and Compliance and other areas of the Firm 

• Strong Microsoft PowerPoint and Excel skills  

Skills Desired 

• Project management experience 

• Paralegal or legal and regulatory knowledge 

• Law degree 

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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, fueled by their diverse backgrounds and experiences. 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Salary range for the position: $60,000 and $95,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

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).