Global ESG Compliance Advisory, Senior Compliance Officer (Legal and Compliance)
Morgan Stanley Investment Management
Location: New York, NY
JOB DESCRIPTION
Global ESG Compliance Advisory, Senior Compliance Officer (Legal and Compliance)
Job Number: 3205126
POSTING DATE: Mar 8, 2022
PRIMARY LOCATION: Americas-United States of America-New York-New York
EDUCATION LEVEL: Bachelor's Degree
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Executive Director
DESCRIPTION
Morgan Stanley Overview
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.
Legal and Compliance Division Overview
Professionals within the Legal and Compliance Division provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that are designed to meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Background on the Position
The Compliance Department is seeking a senior compliance officer to support the enhancement of the Firm's global compliance processes and programs to address Environmental, Social and Governance (ESG)-related compliance and regulatory risks, and to aid the Firm's businesses to comply with applicable laws, regulations, and Firm policies and procedures. Among other internal stakeholders, this individual will work closely with colleagues in the Legal and Compliance Division representing all lines of business and all regions globally.
Key Responsibilities
- Supporting the implementation of enhancements to the Firm's enterprise-wide, product line, and regional compliance programs and processes to effectively address ESG-related compliance and regulatory risks.
- As a subject matter expert, providing advice on applicable ESG-related compliance and regulatory matters to business personnel and support functions.
- Assessing impact of ESG-related regulatory developments, supporting regulatory change management efforts, and providing regulatory updates to the business.
- Maintaining a thorough and up-to-date understanding of applicable global ESG regulations and rule proposals impacting the Firm's business activities.
- Drafting and updating policies and procedures, as required.
- Preparing and delivering compliance training.
- Providing advisory support in connection with Compliance monitoring and testing activities as part of second line oversight of the Firm's compliance with applicable regulation, and policies and procedures.
- Supporting Firmwide ESG-related initiatives and projects requiring Compliance involvement.
QUALIFICATIONS
- Strong academic background (J.D. degree, MBA, or other advanced degree strongly preferred).
- At least ten years' prior compliance, legal or other work experience with a large international financial institution and/or at a law firm, regulator or management consultancy firm.
- Excellent knowledge of financial products and services; prior ESG/sustainability experience a major plus.
- Sound knowledge of securities laws; familiarity with ESG-related regulatory developments.
- Exceptional analytical and problem-solving skills.
- Excellent communication skills, both written and verbal.
- Strong project management skills, with ability to effectively lead project execution and manage to timelines.
- Demonstrated ability to work effectively and collaboratively in a team-oriented environment, as well as independently; strong relationship building skills.
- Well-developed organizational skills to manage time sensitive issues, prioritize effectively, and deliver results.
- Detail and execution oriented, with ability to maintain a high standard of accuracy while managing various tasks simultaneously.
- Computer literacy - working knowledge of Windows-based applications such as Word, Excel and PowerPoint.