Head of Data Compliance

Morgan Stanley
New York, USA
Sep 26, 2022
Sep 30, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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.

The Global Compliance Management team is charged with oversight and execution of the enterprise-wide global Compliance program, coordinating with regional and business Compliance coverage functions.

The candidate will join the department as a member of Privacy, Technology and Data Compliance (PTD Compliance) and will help build out a Compliance coverage function with particular focus on the Firm's compliance with laws, rules and regulations in its use and governance of data. The Candidate will also lead large scale projects for the PTD Compliance group. The candidate will be responsible for developing a targeted compliance framework addressing the laws, rules and regulations (including regulatory guidance (LRRs) on these and related topics). The candidate will work closely with members of Enterprise Technology as well as the Data Centre of Excellence, Operational Risk Department and Legal and Compliance Division in identifying and helping to address process enhancements, establishing consistent global policies and procedures and training, and working with the Compliance oversight team on monitoring/testing. In addition, the candidate will help coordinate responses to regulatory inquiries and exams and provide input into lessons learned and culture programs.

Primary Responsibilities
Build out and operate an Enterprise-wide Compliance Coverage function covering Data. Among other things, the candidate will:
Develop a process to address relevant new and amended laws, rules and regulations (including regulatory guidance) (LRRs)
Work with stakeholders to assist in creating and revising policies & procedures, training, and Compliance monitoring/testing
Work on special projects and targeted reviews
Work with stakeholders to address and report on issues identified through testing, exams, and root cause analyses


Minimum of 8-10 years of compliance, regulatory, legal, and/or technology experience with a concentration in the intersection of data, technology and regulations
Experience in addressing Data related risks and LRRs, such as data transfer and data quality.
Experience in analyzing risks and best practices
Highly organized and detail-oriented with strong analytical skills
Ability to remain flexible and manage competing priorities under demanding deadlines
Strong interpersonal and teamwork skills, as well as excellent oral and written communication skills
Excellent written communication skills particularly when drafting policies and/or training materials
Familiarity with PowerPoint, Excel, and SharePoint
Strong sense of ownership regarding work product
Bachelor's degree in Computer Science, Engineering, Business, Finance, Risk Management and/or a similar area of study beneficial, but not required
Graduate or Law degree not required but desirable
  • You need to sign in to save