Morgan Stanley

Regulatory Governance - VP

Mumbai (MSA)-Maharashtra-India
Not disclosed
06 Feb 2023
01 Mar 2023
Approved employers
Approved employer
Contract type
Full time
Experience level

Job Description

Regulatory Governance – VP

The Finance Division reports to the Chief Financial Officer.  Finance protects the Morgan Stanley franchise by serving as guardian of the Firm’s books and records and by contributing to firm wide risk management and risk reduction.

Regulatory Governance role calls for ownership of control assessment framework, related tools, timely reviews, completion of attestations, data accuracy and regulatory compliance.

It requires expertise in Governance space, engagement with various teams/functions/clients globally, building control framework as well as delivering on key projects involving upstream control attestation for seamless Regulatory submissions.

Responsibilities Include:

  • Execute first line assessments, testing, and QA
  • Maintain Risk and Control Self-Assessment (RCSA)
  • Report on Monthly KRI assessment and remediation plans
  • Ensure ORI are documented with agreed remediation
  • Coordinate Internal/External Exam deliverables
  • Consolidate and prepare materials for walk throughs
  • Provide QA over deliverables
  • Challenge findings/ratings where applicable
  • Review actions plans and ensure timely closure with proper support
  • Maintain regulatory reporting certification and control framework
  • Ensure attestation completion across Regulatory submissions.
  • Update control/attestation framework based on BU, process, regulatory change
  • Drive enhancements/perform testing to improve to the attestation process
  • QA certification results and provide challenge and follow ups where applicable
  • Provide relevant reporting for due diligence
  • Implement policies and execute required training
  • Develop/maintain policies and ensure annual update of related procedures
  • Develop training materials and arrange training to mitigate thematic issue
  • Distribute policies for awareness and provide SME
  • Measure, monitor, and drive risk mitigation initiatives ie. Thematic Issue Analysis
  • Challenge existing controls and focus on enhancing controls to support Regulatory requirement eliminating Operational risk and near misses.
  • This role demands an eye to detail and an overall understanding of the Regulatory Governance function to ensure data alignment with the other Regulatory reports of the organization.


Requirement: VP

  • Atleast 12 + total years’ experience preferable in a similar industry and similar role where the experience can be leveraged.
  • Experience around Regulatory Governance function
  • Chartered Accountant, with good understanding of key Regulations /policies for External reporting.

“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.”

For further information, and to apply, please visit our website via the “Apply” button below.

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