Legal Entity Controller - Governance Manager

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 18 Oct 18

Legal Entity Controller - Governance Manager

The Firm has established a set of Legal Entity Rationalization (LER) Criteria that serve to promote a rational and resolvable legal entity structure for Morgan Stanley. The Legal Entity Governance Office (LEGO) assists with managing and sustaining the Firm's legal entity governance framework, which includes oversight of the LER Criteria assessment framework.

The Manager role for LEGO will have maintenance responsibilities for the LER Criteria assessment framework, which consists of underlying indicators, guidance and RAG statuses that help to substantiate the processes, capabilities and governance that exist for each LER Criterion. The Manager's responsibilities will involve:
- Working closely with LER Criteria Indicator owners and key stakeholders (including the Recovery and Resolution Planning Group, Corporate Treasury, Risk Management, etc.) to ensure completion of all work required to support the LER Criteria assessment process
- Collecting & reviewing indicator and governance evidence submitted by LER Criteria Indicator
- Working with LER Criteria Indicator owners to set RAG statuses for indicator and governance evidence and, monitoring tasks required to address any identified exceptions and remediation efforts
- Supporting review and challenge sessions covering LER Criteria assessment results with executive sponsors and relevant stakeholders
- Preparing presentations of LER Criteria assessment results, including exceptions, proposed remediation efforts, and interim updates to the Global Legal Entity Oversight & Governance Committee
- Maintaining all tools/applications used in supporting the LER Criteria assessment processes (e.g. SharePoint sites)
- Coordinating with other LEGO staff on legal entity governance related responsibilities


- Bachelor degree in Finance, Accounting, Economics or related fields
- 5+ years of professional experience
- Experience with high profile regulatory initiatives or submissions (e.g. Recovery & Resolution, CCAR, etc.) a plus
- Effective relationship building and partnering skills; ability to collaborate with all levels of management and corporate partners
- Strong verbal & written communication skills
- Proficient in MS Office and related applications
- Experience with SharePoint sites required; ability to set-up, maintain and update *LI-ND1