LCD Operations - Vice President - Legal and Compliance

Profile Description

We’re seeking someone to join our team as Vice President, The role will reside within the Legal and Compliance Division's (LCD) COO Department in LCD Operations. The candidate will be responsible for managing a team of eleven who support the Legal and Compliance Division for the following functions: Administration and Contingent Management, Business Unit Information Security Officer (BUISO), Entitlements, Outsourcing Control, Law Firm Risk and Vendor Management.

Legal and Compliance

In the Legal & Compliance division, we protect the Firm’s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes

Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate & Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll do in the role:

• Coordination for the annual BCP testing and Plan refresh.

• Contingent onboarding, revisions, disengagement and furlough management.

• Administration activities which include attorney license management, overdue training administration, Email disclaimer review etc. 

• Ensures divisional compliance with the Third Party Program Management framework for outsourcing control documentation.

• Track, report and resolve data leakage incidents.

• Manage divisional compliance with entitlement reviews.

• Act as point of escalation for risk issues related to Vendor Management.

• Coordinates with Firm sourcing, Legal, business units and vendors on contracts, RFPs, task orders, amendments and negotiations.

• Manage the onboarding and ongoing validations of Law firms on iShield.

• Facilitate the completion of Information Security reviews for law firms including remediation / risk acceptance as necessary. 

• Manage the escalation of Information Security breaches to Firm resilience team and Third Party Program Management.

• Assist in preparing metrics for Quarterly risk governance committees.

• Identify and develop areas for improvement including system enhancement, process controls to improve the throughput, quality of work, supervisory reviews.

• Ensure staff receive appropriate training & development, assist in developing training plans & provide coaching where necessary.

What you’ll bring to the role:

• Candidate should have a minimum of 10+ years work experience

• Proven relationship building and collaboration skills

• Expertise in MS Office (Excel and PowerPoint)

• Strong analytical and problem solving skills

• Excellent stakeholder management skills

• Very good communication skills, both oral and written

• Prior experience in risk management, or other risk/control-based roles is preferred.

• Strong organizational skills with the ability to multitask and prioritize; ability to work under pressure and against tight deadlines.

• Ability to work in a team environment, build and maintain a network of stakeholders throughout the firm.

• Good understanding of banking regulation, especially relating to operational risk management is highly desirable

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 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.