Morgan Stanley Services Group Inc. seeks a Director, Regulatory Operations in Baltimore, Maryland
Perform the review, validation, and substantiation of operational data impacting the 15c3-3 Customer Reserve Formula. Prepare monthly calculations and reporting related to the 15c3-1 New Capital. Ensure adequate controls are in place through providing an integrated risk and control framework to govern, assess, mitigate, and manage financial and operational risk in Operations. Complete analyses and reports regarding core disciplines, such as asset servicing, cash management, client data management, global banking services, loans servicing, network management, payments (wireless and disbursements), reconciliations, settlements, and tax operations. Utilize tools to maintain and monitor projects and their defects and review internal reconciliation. Utilize knowledge of Rule 15c3-1 and Rule 15c3-3 regarding net capital requirements and Customer Asset Protection to perform operational research analyses.
Requires a Master's degree in Business Administration, Finance, or related field of study and three (3) years of experience in the position offered or three (3) years of experience as an Analyst, Associate, or related occupation in the financial services industry. Will accept a Bachelor's degree and five (5) years of experience in lieu of a Master's degree and three (3) years of experience. Requires three (3) years of experience with: operational compliance; regulatory processes; operational risk disciplines; processes, risks, and controls; accounting systems and processes; project management; and Microsoft Office including Excel, Word, and PowerPoint. Requires two (2) years of experience with: Visio and regulatory rules including SEC Rule 15c3-3 and SEC Rule 15c3-1.
Qualified Applicants : To apply, visit us at http://www.morganstanley.com/about/careers/careersearch.html Scroll down and enter 3127829 as the "Job Number" and click "Search jobs." No calls please. EOE Morgan Stanley Use Only: *LI-DNI
Internal Number: 5604239
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