We’re seeking someone to join our team as a Director in Operations Risk and Regulatory Control to be responsible for the firm's daily CAT operations reporting needs and operate priorities to align the outcome of the program with the organization's overall business goals

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 a Team Specialist position at Director level 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 that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll 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
• Consolidated Audit Trail (CAT) Expert: The individual will need to understand trade flows, order events, and customer account reporting with expertise in US regulations, primarily covering Exchange Traded Derivatives / Equity Products / Listed options, lifecycle management and controls; familiarity with recent developments in financial regulations.
• 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.

What you’ll 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 Firm's core values and acting as a role model
• At least 4 years’ Institutional Markets Operations experience would generally be expected to find the skills required for this role
• 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)
• Experience in automation platforms such as Alteryx, Power apps, Ui Path, Dynamics, etc.

What you can expect from Morgan Stanley:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

Role is hybrid and will require in office attendance 3 days/week.

Expected base pay rates for the role will be between 85000 and 130000 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 Stanley's 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).

Job: *Other

Title: Regulatory Reporting Operations Director (AVP)

Location: New York-New York

Requisition ID: 3257414