Compliance Policies & Procedures Specialist

  • Competitive
  • Baltimore, MD, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 20 Oct 18

Compliance Policies & Procedures Specialist

Position Description:

Bank Group Compliance ("BGC"), which is charged with oversight and coordination of the Compliance program for Morgan Stanley's two US Banks (Morgan Stanley Bank, N.A. ("MSBNA") and Morgan Stanley Private Bank, N.A. ("MSPBNA")), seeks a Compliance Policies & Procedures Specialist to assist with drafting Bank related compliance policies and procedures. This position will report to the BGC Head of Policies and Procedures.

Key Responsibilities:

  • Work with subject matter experts to collectively build content and develop and/or update Bank compliance policy and procedures;
  • Research and grasp regulatory and legislative changes impacting the Banks and effectively be able to translate to compliance policies/procedures, as necessary;
  • Submit policies and procedures for review and approval and track and manage delivery timelines;
  • Manage the incorporation of change based on feedback from subject matter experts and key stakeholders;
  • Ensure the established method, consistency, style and terminology are kept standardized;
  • Manage multiple high-priority assignments simultaneously and perform in a fast-paced, dynamic environment.


Required :
  • Bachelor's degree required;
  • Minimum three years of experience developing and editing policies and procedures;
  • Thorough attention to detail and the ability to effectively follow up on outstanding items;
  • Excellent communication skills, both verbal and written;
  • Must be able to effectively communicate and establish strong working relationships with colleagues and stakeholders of all levels of seniority and background;
  • Ability to interview subject matter experts to determine impact to policies and procedures as well as integrate information derived from interviews into meaningful policies and procedures;
  • Must be able to manage multiple responsibilities and projects with competing priorities and deadlines;
  • Strong organization and time management skills;
  • Strong Microsoft Office skills.

  • Experience with interpreting regulatory/legislative content;
  • Working knowledge of SharePoint;
  • Process flow/process mapping experience;
  • Critical thinking and analysis skills.