Regulatory Reporting Operations- Associate

Were seeking someone to join our team as an Associate in Operations to be responsible for the firms daily CAT operations reporting needs and operate priorities to align the outcome of the program with the organizations overall business goals. The individual will be part of the CAT team.

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. This is an Associate level position within Core Services which is responsible for performing and managing product-agnostic and centralized operational services across several businesses and products.

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.

Interested in joining a team thats eager to create innovate and make an impact on the world

What youll do in the role:
> Execute complex processes and assist a Team Manager in coordinating processes risks and/or projects in a Team Lead capacity
> Recognize risk in day-to-day processes to draw out the key issues and leverage detailed knowledge to propose changes in process
> Train others allocate tasks and support with first line escalation where required
> Share expert knowledge across the team contribute to team output and development building relationships across the Firm
> Interface with multiple operations stakeholders Business Unit Legal Compliance and Technology for investigation of reporting and reconciliation exceptions identify root causes and run governance for resolution
> Monitoring and governance of data quality FINRA CAT linkage exceptions upstream and downstream systemic issues industry platform issues.
> Ensure timely escalation of any issues to stakeholders

>Working knowledge of CAT/CFTC
> Improvement of controls ensuring 100% reporting accuracy and compliance to regulatory rules.
> Understanding of Automation platforms (Alteryx/Power apps/Ui Path) to eliminate manual processes and reduce errors is a plus
> Interface with Industry forums to provide representation of the firms requirements. i.e. Industry working groups
> Take lead in moderately complex initiatives and deliverables.

What youll bring to the role:
> Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team
> Ability to operate independently with respect to some job responsibilities
> Culture carrier across Operations embracing the Firms core values
> Expertise in the trade lifecycle and the various downstream user requirements of trade and financial data
> Control and Risk focus.
> Excellent written and verbal communication skills and confidence to lead meetings.
> Self motivated with a strong sense of ownership and accountability for tasks and people
> Strong knowledge on multi jurisdiction regulatory reporting exception investigation material economic terms investigation and governance & metrics.
> Experience with transaction reporting preferably in FINRA Consolidated Audit Trail (CAT) or CFTC (Commodity Futures Trading Commission)
> Knowledge of basic terminologies used in the financial services sector.
> Knowledge of project management and change management principles.
> At least 4 years relevant experience would generally be expected to find the skills required for this role

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley we raise manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first doing the right thing leading with exceptional ideas committing to diversity and inclusion and giving back - arent just beliefs they guide the decisions we make every day to do whats best for our clients communities and more than 80000 employees in 1200 offices across 42 countries. At Morgan Stanley youll find an opportunity to work alongside the best and the brightest in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.

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Expected base pay rates for the role will be between $65000 and $103000 per year at the commencement of employment. However base pay if hired will be determined on an individualized basis and is only part of the total compensation package which depending on the position may also include commission earnings incentive compensation discretionary bonuses other short and long-term incentive packages and other Morgan Stanley sponsored benefit programs.

Morgan Stanleys goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race color religion creed age sex sex stereotype gender gender identity or expression transgender sexual orientation national origin citizenship disability marital and civil partnership/union status pregnancy veteran or military service status genetic information or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).