Head of Core Company Compliance recruitment

Position Category: Legal/Compliance

Position Title: Head of Core Company Compliance

Job Level: Executive Director

Location: USA - NY - New York

Education Required: Masters Degree

Position Description:
Responsibilities include:
• Developing and maintaining the Morgan Stanley Code of Conduct and related global policies
• Overseeing the Policy framework, including distribution of the monthly Compliance bulletin to business units globally and the maintenance of the Legal and Compliance online portal
• Writing the Annual Compliance Plan, which sets forth the key global risks for the year and the associated remediation plans, and tracking progress through the year
• Developing enterprise-wide e-learning modules covering core legal and compliance concepts, e.g. anti-money laundering, conflicts of interest, franchise risk
• Overseeing the Global Compliance training program, including the development and tracking of annual Compliance training plan and managing the distribution of bi-annual enterprise-wide e-learning modules
• Overseeing the Compliance programs related to employee trading and outside business activities, including owning the global policy, coordinating global teams, implementing consistent global standards globally and managing the related technology agenda
• Developing reporting on key Compliance initiatives, issues and performance metrics to various risk governance committees including the Audit Committee of the Board of Directors, the Global Compliance Committee and the Firm Risk Committee
• Producing monthly Compliance metrics for senior Compliance management
• Coordinating with Operational Risk on the identification and reporting of operational risk incidents
• Conducting the annual operational risk and control self assessment of the Legal and Compliance division globally
• Representing Compliance in cross divisional projects, including IT initiatives

Skills Required:
- Graduate degree required, MBA or JD preferred
- 10 years experience in Compliance and/or financial services industry
- Proficiency with Microsoft Excel, PowerPoint, and SharePoint
- Ability to work with Compliance technology teams to develop related systems
- Ability to work with cross-functional teams across the firm
- Excellent written and oral communication skills
- Demonstrated leadership ability/ability to work with global teams