Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.
The role will be part of the Operation Risks and Regulatory Controls (ORRC) Audit Confirmation Team, which reduces regulatory, financial and reputational risk to the firm by increasing transparency, control effectiveness and efficiencies of Operations Risk & Control regulatory functions and responsibilities. The role interacts with other lines of business (i.e. Legal & Compliance, Technology, Finance, etc.) and Operations teams across the firm and affects the firm's ability to meet its regulatory requirements.
Responsibilities: - Supervise Regulatory Operations Team of 3-5 staff whose functions are centered on the review and validation of Operations related activity impacting day to day operation. - Supervise Incoming Audit process; ensuring all audit responses are in accordance with the client's authorization and in Compliance with FINRA Privacy Act - Drive the identification, analysis, and implementation of potential process changes to bolster regulatory control framework and/or increase organizational efficiency. - Monitor all Ops employees (FW, ISG and WM) to ensure individuals requiring FINRA registration are appropriately registered in accordance with FINRA regulation; this includes but is not limited to performing ongoing validation of employees in Covered Roles and ensuring all registered Ops employees complete the FINRA mandated Continuing Education requirements.
Qualifications - 5+ years' experience in the industry - Series 99 is required or obtained in 90 days - College degree is preferred
Skills Required: - The candidate must possess strong verbal and written communication skills and be able to develop quality working relationships Ability to analyze large, complex, multidimensional datasets with a variety of tools - Ability to deal with ambiguity and define approaches to bring unfocused issues to resolution - Strong sense of ownership and accountability for work - Ability to work independently and in a team environment, build and maintain a network of contacts, and coordinate with a large number of stakeholders across the business and technology - Proficient in Microsoft excel, power point and word - Presentations Skills - Leadership Skills - Highly organized, with close attention to detail
Desired skills required: - Demonstrate Production Management skills - Ensure communication out to external counterparties is current, accurate and up to date. - Maintain counterparty repository of information; financial institution, name, contact information, etc. - Work with stakeholders and team members to deliver assignments within deadlines - Understand, investigate, and escalate deficiencies in process implementation/oversight - Create, Review and validate controls and procedures
Internal Number: 4735943
About Morgan Stanley USA
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