Morgan Stanley

Finance Central Policy Office – Director

Glasgow

JR012997

The Finance Central Policy Office (CPO) is a first line of defense governance team, critical in advancing both the Firm and Finance's policy agenda. The Finance CPO through the policy and procedure governance framework oversees policy governance for Finance, it establishes Finance policy standards and administers a policy governance forum. The team is responsible for managing the policy lifecycle for Finance policies. It provides active and direct leadership in development, drafting, review, socialization, and approval of Finance policies, reviewing policies under development, tracking policy metrics, establishing, and enhancing policy reporting supporting other strategic initiatives as they arise.

The Finance CPO is also responsible for managing certain compliance related activities such as the Global Mandatory Enforced Vacation Program, Mandatory Training compliance, and the licensing and registrations program.

This position supports the Head of the Finance Central Policy Office and Governance Lead in the strengthening and development of a coherent and transparent governance Framework.

About Morgan Stanley

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. We 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.

What will you be doing?

Maintain best practices for Policy Governance through:

• Ownership and Implementation of the Finance Policy & Procedure Governance Framework.
• Setting forth uniform minimum standards with respect to development, renewal, approval, oversight and management of policies and procedures.
• Act as single point of contact between the Central Policy Office and Finance ensuring socialization of any changes to processes.

Manage the Finance Policy & Procedure Inventory by:

• Assisting Policy Owners with policy and procedure life cycle requirements.
• Facilitation of updates to Inventories, including those containing ERM (Enterprise Risk Management) Policies, through collaboration with our individual Knowledge Bank managers and cross office colleagues.
• Monitoring past due and coming due documents to assist with annual refreshes.
• Maintenance of Finance Governance Committee Charter Inventory.

Co-Ordinate Compliance related requirements by:

• Reviewing and Maintaining all Finance LFI Supervisory Documentation (FRB Mandate).
• Daily management of the MEV Program for Finance.
• Approving Licenses & Registrations and providing reporting to management for S99 permissive and active registrant inventory for Finance.

Developing and maintaining reporting metrics relating to:

• Policies and Procedures
• License and Registrations (Designated Manager - Cost Center/Individual Assignments, Permissive/Active Registrants, Registered Supervisors, GRL approval request for new/additional license)
• MEV
• Mandatory Compliance Training
• Committees/Charters (Finance is Chair/Co-Chair)

What we’re looking for:

• Experience within financial services or compliance.
• An understanding of the Regulatory environment is preferred.
• A strong team player with the ability to operate independently, pro-actively and collaborate effectively with multiple stakeholders at all levels both within Finance and the business.
• Strong analytical and communication skills, with good attention to detail.
• Ability to manage expectations, influence and persuade clients and colleagues.
• Ability to present to Senior Management.
• Ability to multi-task, to perform effectively and efficiently under pressure and to adapt to change.
• Rational and logical approach to problem-solving.
• Strong appreciation of risk, with ability to identify and escalate.

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, 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.

Certified Persons Regulatory Requirements:

If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.

Flexible work statement

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.