EMEA Risk and Regulatory, Vice President- Investment Management Operat

2 days left

Morgan Stanley
25 Aug 2017
22 Sep 2017
Contract Type
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. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

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

Morgan Stanley Investment Management Operations (IM Operations)

This Operations group supports the equity, fixed income, liquidity and alternative businesses for Morgan Stanley Investment Management (MSIM), providing middle-office services including portfolio manager support, client services, portfolio transitions, market registration, product data and performance and attribution analysis. IM Operations also provides mutual fund support, derivative processing, and counterparty and credit event management.

Background on the Team

The EMEA Risk and Regulatory Vice President will report to the International Head of IM Operations Risk & Control/Global Head of Regulatory Governance and Oversight. This role is required to support execution over the IM Operations risk and regulatory governance agenda, with specific coverage over EMEA. The individual will cover/perform a broad range of Operational Risk related programs and activities including support of the Global Operations Risk Management framework and IM Operations risk landscape.

The IM Operations Risk team consists of three regional teams located in London, New York and Mumbai.

Key responsibilities include:
Internal Risk Metric Operational Analysis and Reporting
Incident and Action Plan Management and Post Mortems
Infosec, System and Entitlement Maintenance & Review
Business Continuity Planning
Performing Department/Internal Reviews Testing and Audits

Primary Responsibilities

Position Description:

Areas of focus include general operational risk management, incident management, Information Security and Technology Risk impacting Operations as well as department/ internal reviews testing and audits. In addition, the role will support the Global Regulatory Oversight and Governance Framework by coordinating the identification and impact assessment of new regulation, overseeing the implementation of regulatory projects and assuring ongoing compliance with existing regulatory reporting requirements.


Risk Management
Manage the Risk Identification and Escalation Process
Operations Risk Management - Risk monitoring, Tracking, Reporting and Mitigation
Periodic functional risk assessments and reporting to Senior Stakeholders
System administration and Entitlements review facilitation
Business Continuity Planning and Information Security Review
Liaising for Audits (Internal, SSAE 18 etc.), external assessments and Regulatory Exams
Facilitate Risk Control Self-Assessments (RCSA)
Involvement in projects & other related duties as assigned
Drive Risk the program and initiatives regionally and globally

Regulatory Governance and Oversight
Participate in regular forums with Legal and Compliance and other stakeholders to identify and assess new regulation impacting IM Operations
Provide advice to IM Operations Subject Matter Experts with respect to regulatory project implementation and managing change
Participate in governance forums e.g. Steering committees
Oversee the ongoing compliance with firm regulatory reporting framework requirements

Skills required (essential)

Preferable experience in Investment Management and Operations Risk
Experience of regulatory project management / project implementation or regulatory reporting
Ability to lead and drive initiatives independently
Strong presentation skills and an ability to report to and manage senior stakeholders
Strong verbal and written communication skills
Strong attention to detail, quality and accuracy
High degree of computer literacy, including working knowledge of Windows-based applications such as Word, Excel and PowerPoint
An ability to think outside the box and look for creative solutions
Demonstrated ability to work effectively in a team-oriented environment
Strong drive for continuous improvement

Skills desired

Graduate/Post Graduate (Finance/ Accountancy) degree or equivalent
Operations experience at an Asset Manager or Investment Bank
Relevant prior experience in conducting internal audits for mutual funds and any exposure to Audit exercises will be an added advantage

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.*Li-CN1