Team Specialist Risk & Regulatory Control

Were seeking someone to join our team as a Director in Firmwide Operations to be a part of the Audit Confirmations Team who is responsible for ensuring compliance with requirements under the Securities and Exchange Act Rule 17a-13.

In the Operations division we partner with business units across the Firm to support financial transactions devise and implement effective controls and develop client relationships driving strategic automation solutions by embracing a transformation mindset and challenging the status quo. This is a Team Specialist position at Director level within Risk Regulatory & Resilience which performs various independent functions to ensure adequate controls are in place. We do this by providing an integrated risk and control framework to govern assess mitigate and manage financial and operational risk in Operations.

Morgan Stanley is an industry leader in financial services known for mobilizing capital to help governments corporations institutions and individuals around the world achieve their financial goals.

At Morgan Stanley Baltimore we support the Firms global Technology Operations Risk Management Legal and Compliance Internal Audit and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. Theres ample opportunity to move across the businesses for those who show passion and grit in their work.

What youll do in the role:

• Serve as a subject matter expert within functional area working with Team Manager to manage processes risks and/or projects proposing and implementing improvements/changes
• Act as key problem solver for area or expertise applying detailed knowledge to address unique or novel situations recognize risks and draw out key issues
• Coordinate work train and develop other team members where required including task allocation and project contribution.
• Interface closely with Compliance Operations Technology and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:
  • Perform the quarterly Vault Count to confirm physical securities
  • Perform the Custodial Audit.
  • Send Audit Confirmation requests to external counterparties and/or clients/ brokers to verify open aged positions.
  • Perform Security Based Swap Audit for MSCO & MSCS entities.

What youll bring to the role:

• Ability to lead by example work with drive and determination and put forward challenging views to senior levels
• Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team
• Ability to operate independently across the majority of day-to-day responsibilities
• Culture carrier across Operations embracing the Firms core values and acting as a role model
• Exceptional organizational skills and a high degree of attention to detail
• At least 4 years relevant experience would generally be expected to find the skills required for this role