- Manage/prepare deliverables and responses based upon Bank regulator's requests by identifying and working with subject matter experts across the Banks and Firm
- Manage internal preparation and working sessions to prepare and package up deliverables based upon Bank regulator's requests, and obtain feedback from stakeholders prior to finalization
- Independent review and challenge of design and sustainability 1LOD technology owned regulatory remediation commitments
- Participate in bi-weekly meeting with Regulatory Relation Group to review and discuss open requests from the Bank regulator, and work or follow-up with stakeholders/SMEs to complete the requests
- Monitor and escalate potential delays or concerns regarding Bank regulator's requests in a timely manner to Bank management
- Provide guidance on decisions related to remediation plans and methods of risk reduction to satisfy a variety of regulatory standards and requirements
- Engage with team members to stay on top of potential/emerging risks and concerns that may impact the Banks, such as from periodic control assessments/RCSA, results from IT Control Testing program, Internal Audit findings, metrics reporting, etc.
- Monitor and review Bank-impacting technology risks and issues that are relevant to Bank regulator's requests and focus; and influence the prioritization of remediation activities
- Recommend improvements in processes and procedures to increase effectiveness and efficiency of controls
- Participate in various initiatives related to control enhancements, risk reduction and remediation program efforts
- Oversee development and maintenance of Bank Technology Policy and Procedures, ensuring alignment with regulatory requirements and Firm Technology Policy
- Liaise with Firmwide Technology Policy team to monitor proposed policy changes and determine impact to Bank
- Represent the Bank in selected Policy Control Owner Working Groups
- Maintain the plan for the Bank Technology and Security teams' assigned coverage of Policy Control Owner Working Groups
- Recommend improvements to processes and procedures to increase effectiveness and efficiency
- Assist with preparation of responses to technology-related regulatory and internal audit requests as needed
- Ten plus years of experience in a similar role in financial or banking services in a technology risk/regulatory-related and writing policy and procedures.
- Excellent written and verbal communication skills with the ability to summarize complex information clearly for senior technical and non-technical audiences
- Sound understanding of risk assessment methodologies, internal controls and industry technology risk management frameworks
- Strong analytical skills with the ability to solve problems independently and drive tasks to completion
- Advanced Excel skills, including data import, pivot tables, V-lookups and data analysis
- High level of attention to detail and focus on precision
- Good interpersonal skills, with an ability to navigate complex organizations, build relationships and influence peers
- High level of personal integrity, as well as the ability to professionally handle confidential matters, and show an appropriate level of judgment and maturity
- Practical knowledge of technology and information security processes
- Practical knowledge of banking principles, products, and bank regulatory environment
- Proficiency with MS Excel, PowerPoint and MS Project
- CRISC or CISSP certification
- Familiarity with the FFIEC IT Handbooks, and related laws and regulations including OCC Heightened Standards for Large Banks, 12 CFR 30 Safety and Soundness Standards is a plus
- Prior experience working in a large bank
- Industry certifications are a plus
- Minimum bachelor's degree in information technology, Business, Economics, or Finance.
Senior Regulatory Officer- Vice President - Alpharetta, United States - Morgan Stanley
Description
Senior Regulatory Officer- Vice PresidentSenior Regulatory Officer- Vice President
Morgan Stanley
Alpharetta, United States
Posted 1 day ago
Permanent
Competitive
Company Profile
At Morgan Stanley, we advise, originate trade, manage, and distribute capital for governments, institutions, and individuals, and always do so with a standard of excellence.
Our WM business is one of the largest in the world with more than $2 trillion in client assets, $73 billion in lending balances, and nearly 16,000 Financial Advisors in 600+ offices across the U.S.
Our Financial Advisors focus on delivering timely, customized solutions and services that help clients meet their financial and life goals.
Our offering includes brokerage and investment advisory services, financial and wealth planning, access to credit and lending, cash management, annuities and insurance, and retirement services.
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
US Banking Technology (USBT) is a dynamic and fast-paced area within the Firm's WM Technology Division.
We are responsible for creating innovative technology solutions for the Private Banking Group (PBG), one of the strategic growth areas of the Firm, providing cash management and lending products and services to our WM clients.
This includes state-of-the-art technology for a nationwide network of Private Bankers and product specialists who work with Financial Advisors to provide access to products and services such as online banking, cards, deposit products, residential mortgages, securities-based loans and tailored lending.
If you are an exceptional individual who is interested in solving complex problems and building sophisticated solutions in a dynamic team environment, USBT is the place for you.
Position DescriptionThe position is for a Technology Risk Manager, focusing on support for Morgan Stanley's two U
S Banks:
Morgan Stanley Bank, National Association (MSBNA) and Morgan Stanley Private Bank, National Association (MSPBNA). These banks are independent national banks and wholly owned subsidiaries of Morgan Stanley.
Because of their national bank charters and ability to attract stable insured deposits, the Banks represent valuable franchise-enhancing strategic assets to the Firm.
The U.S.Banks Tech Risk & Governance team is responsible for supporting Bank business and growth by managing the provision of technology within a regulatory-compliant, risk-managed framework in a cost-effective manner.
The team is seeking an experienced Technology Risk Manager to provide ongoing support and management of regulatory matters as relevant to the Banks' technology risk landscape.
Job Functions/Duties and Responsibilities:
Skills Required:
Skills Desired:
Education:
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