49227 Project management Jobs

Regulatory Governance – VP

The Finance Division reports to the Chief Financial Officer.  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.

Regulatory Governance role calls for ownership of control assessment framework, related tools, timely reviews, completion of attestations, data accuracy and regulatory compliance.

It requires expertise in Governance space, engagement with various teams/functions/clients globally, building control framework as well as delivering on key projects involving upstream control attestation for seamless Regulatory submissions.

Responsibilities Include:

1. Execute first line assessments, testing, and QA

• Maintain Risk and Control Self-Assessment (RCSA)
• Report on Monthly KRI assessment and remediation plans
• Ensure ORI are documented with agreed remediation

1. Coordinate Internal/External Exam deliverables

• Consolidate and prepare materials for walk throughs
• Provide QA over deliverables
• Challenge findings/ratings where applicable
• Review actions plans and ensure timely closure with proper support

1. Maintain regulatory reporting certification and control framework

• Ensure attestation completion across Regulatory submissions.
• Update control/attestation framework based on BU, process, regulatory change
• Drive enhancements/perform testing to improve to the attestation process
• QA certification results and provide challenge and follow ups where applicable
• Provide relevant reporting for due diligence

1. Implement policies and execute required training

• Develop/maintain policies and ensure annual update of related procedures
• Develop training materials and arrange training to mitigate thematic issue
• Distribute policies for awareness and provide SME

1. Measure, monitor, and drive risk mitigation initiatives ie. Thematic Issue Analysis
2. Challenge existing controls and focus on enhancing controls to support Regulatory requirement eliminating Operational risk and near misses.

This role demands an eye to detail and an overall understanding of the Regulatory Governance function to ensure data alignment with the other Regulatory reports of the organization.