Morgan Stanley

Compliance Officer (Legal and Compliance) : Job Level - Executive Director

Morgan Stanley • $148K — $238K *
Legal & Accounting
8 - 10 years of experience
Job Overview by Ladders

Qualifications

  • Minimum 9.5 years of relevant experience in a related field.
  • 5+ years as a software business or systems analyst delivering web/mobile applications.
  • Proven ability to deliver digital products on time and within scope.
  • Experience in Agile development frameworks.
  • Excellent communication skills for presenting complex information clearly.
  • Ability to collaborate with cross-functional teams at all levels.
  • BA or BS preferred but not mandatory.

Responsibilities

  • Set priorities with stakeholders and squad leadership for product goals.
  • Manage annual work and technology budget, differentiating mandatory from discretionary tasks.
  • Represent the product in governance and planning meetings.
  • Oversee data management, ensuring integrity and compliance.
  • Maintain transparency and inventory of product assets for regulatory compliance.
  • Chair complaint coordination forums and manage regional requests.
  • Collaborate with various departments including Technology and Compliance for audit support.

Benefits

  • Opportunity to lead strategy for a global complaint management product.
  • Engagement with cross-regional teams across multiple business segments.
  • Direct influence on product vision and long-term outcomes.
  • Involvement in cutting-edge digital product development.
  • Exposure to high-level governance and executive collaboration.
Full Job Description

We're seeking someone to join our team as a product owner for CCMS in Wealth Management Compliance responsible for the overall strategy for the Firm's global complaint management product - CCMS and the Complaints Search and Reporting (CSR) tool.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Executive Director level position within the Wealth Management Field Compliance engages with the Enterprise Compliance Platform Owner to align product strategy to Platform strategy.

What you'll do in the role:

> Work with stakeholders and the squad leadership team to set priorities - including funding, resourcing and sequencing of deliverables - to address Product goals and prioritized Outcomes.
> Own the annual book of work and Technology budget ask, separating mandatory work from discretionary enhancements, and escalate trade-off decisions when the full book of work exceeds approved funding.
> Represent the product through LCD Transformation governance, IBRs and annual Outcome planning.
> Full ownership of the data assets that power the product: understanding how data is captured, structured, derived and transformed; stewarding functional data models and curated datasets; maintaining visibility into analytical and decision models that rely on that data
> Ensure governance over EUCs and manual processes
> Maintaining comprehensive inventory and documentation of all owned assets to support transparency, data quality, lineage and regulatory expectations
> Chair the firmwide complaint coordination forums and maintain standing partnerships across Wealth Management, U.S. Banks, ISG, Investment Management and the Americas, EMEA, APAC and Japan - including region-friendly sessions for APAC and Japan. Arbitrate competing regional and BU requests against one shared backlog.
> Partner with NFR Technology, LCD Innovation, BU Risk, Legal and Operations, and serve as the business point of contact for Internal Audit, Compliance Testing and external audit requests.
> Maximize product value through a transparent backlog managed to firm and fleet standards; define product vision, quarterly and sprint goals and metrics; provide requirements and acceptance criteria to the definition of ready; conduct UAT and sign-off; enforce documentation as part of the definition of done
> Direct the Product Owner Proxy/Manager and Business Analyst, who perform delegated responsibilities and oversee day-to-day squad execution in partnership with the Scrum Master.

What you'll bring to the role:?

>Minimum 9.5 years of relevant experience across work and higher education
>5+ years of experience as a software business or systems analyst with track record of delivering new innovative web or mobile applications within an agile/scrum development process
>Proven track record of delivering successful digital products on time and within scope.
>Experience working in an Agile development environment.
>Excellent communication skills, including the ability to present complex information in a clear and concise manner.
>Ability to collaborate effectively with cross-functional teams and stakeholders at all levels of the organization.
>BA or BS preferred, but not required

About Morgan Stanley

Morgan Stanley Investment Management are active managers of capital, working to outperform the market and deliver results for their clients. Morgan Stanley Investment Management's long-tenured professionals apply their experience and expertise across public and private markets, in single-sector, multi-asset and custom solutions.

Morgan Stanley Careers

Joining Morgan Stanley today means becoming part of a global team dedicated to strengthening communities, pioneering innovation, and fostering diversity. As a leading global financial services firm, Morgan Stanley offers unparalleled job opportunities, career growth, and a culture of leadership that together create an exceptional employment experience. Work You’ll Do At Morgan Stanley, you will collaborate with knowledgeable professionals to drive innovation and deliver solutions in financial services. Our team is composed of diverse, talented individuals who bring their unique skills and perspectives to work every day, setting the standard for leadership in the global market. Morgan Stanley is not just a company; it's a place where ambitious, creative, and skilled individuals can build a rewarding career. Here, you can experience the benefits of a vibrant culture dedicated to professional growth and diversity training. Internship Programs Kickstart your career with Morgan Stanley’s internship programs. These positions offer invaluable industry insights and professional experience to students and recent graduates. Interns at Morgan Stanley gain hands-on experience, working alongside seasoned experts in a dynamic, supportive environment. Innovation and Professional Growth We believe in the power of innovation to solve complex problems and encourage our team to think differently and act boldly. Morgan Stanley supports your career development through comprehensive training, development programs, and leadership workshops, ensuring that every employee has the tools they need to succeed. Join Our Team Explore the various job opportunities at Morgan Stanley, from entry-level positions to executive roles. We are hiring individuals who are passionate about finance and eager to contribute to a team that values integrity, excellence, and a forward-thinking mindset. Enhance your skills through our networking events, mentorship opportunities, and ongoing professional development. Stay Connected Keep up to date with the latest from Morgan Stanley Careers by subscribing to our job alert emails. Tailor your preferences to receive updates about new postings, career tips, and exclusive insights from our team leaders. Apply Now Ready to take the next step in your career? Search open positions that match your skills and interests on the Morgan Stanley Jobs portal. Prepare your resume, refine your interview techniques, and join a company that values innovation and leadership. At Morgan Stanley, we’re not just building careers—we’re developing leaders. Discover how far your talents can take you by joining our team today.
Learn more about Morgan Stanley
Size
77,000 employees
Market Cap
$144.1 billion
Industry
Net Income
$10.9 billion
Founded
1935
5 Year Trend
+10%
Revenue
$52 billion
NASDAQ

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