Institutional Bank Compliance Lead
Position Category: Legal/Compliance
Position Title: Institutional Bank Compliance Lead
Job Level: Vice President
Location: USA - NY - New York
Education Required: Bachelors Degree
Position Description:
Morgan Stanley seeks a senior level compliance officer to lead compliance coverage for institutional lending and capital market activities, as well as provide lead coverage for Transaction with Affiliates (Reg W), Insider Lending (Reg O) and Anti-Tying regulations in Morgan Stanley's U.S. banking entities.
Skills Required:
Job responsibilities:
• Providing advice and guidance to institutional lending and capital market business units with respect to banking rules and regulations.
• Providing advice and guidance to with regard to compliance requirements of Reg W, Reg O and the Anti-Tying provisions of the Bank Holding Company Act within Morgan Stanley's U.S. banks;
• Provide advice and support to business stakeholders in implementing policies and procedures.
• Conduct appropriate Compliance monitoring (particularly Reg W and Reg O);
• Develop and conduct annual and in-person trainings for relevant U.S. Banks' employees and employees of affiliates;
• Lead projects impacting U.S. Banks and/or institutional products;
• Participate in New Product Approvals impacting the U.S. Banks;
• Provide periodic reporting to relevant oversight and management committees, including both gathering and reporting of data/metrics and presentations to senior management and regulators; and
• Responding to and addressing regulatory enquiries
Skills Desired:
Experience
• Bachelor's Degree. MBA or J.D. Preferred.
• Previous experience with a bank government agency preferred (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance or business capacity within the banking industry.
• Minimum of ten years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices.
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