Morgan Stanley
Legal Entity Regulatory Controller Director
Morgan Stanley, Baltimore, Maryland, United States, 21276
Overview
Legal Entity Regulatory Controller Director – Morgan Stanley Join to apply for the
Legal Entity Regulatory Controller Director
role at
Morgan Stanley . Company & Department
Company Profile 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. The Firm emphasizes integrity, excellence and strong team ethic. The culture balances personal lifestyles and perspectives with professional needs. Department Profile The Finance Division reports to the Chief Financial Officer and consists of about 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by maintaining books and records and contributing to firmwide risk management. The division liaises with regulators and external stakeholders. Global Corporate Controllers & Planning (GCCP) oversees accounting, financial and regulatory reporting. Within GCCP, the US Legal Entity Regulatory Control team (US LE Reg) ensures US regulated entities comply with regulatory requirements, notably net capital (15c3-1, 18a1) and customer protection (15c3-3). The team prepares and files FOCUS reports, estimates net capital, and calculates customer reserve requirements daily. The group supports broker-dealer and swap dealer entities and engages in process improvements and analytics. The Analyst/Associate will support production and be engaged in analytics and insights. Responsibilities
Provide cross-entity support for daily net capital and/or customer reserve calculations Responsible for select components of monthly calculations and FOCUS reporting Identify improvement opportunities in data, process, and technology; drive improvements Production and support tasks distributed across team members Prepare and analyze daily and month-end reporting of net capital, including haircuts and regulatory capital deduction schedules Prepare daily customer reserve calculations with analysis of material changes Prepare and analyze reports filed with the SEC, FINRA and other regulators Manage the monthly Data Attestation process for information providers Assist with testing of new processes, technology and reporting improvements Address questions from Business Unit Controllers, other functional areas, and regulators Qualifications
Strong data analysis skills with large, complex data sets; Excel essential; Alteryx and coding skills beneficial Team player with relationship-building skills across US LE Reg, Operations, Business Unit Controllers and other groups Ability to learn quickly from subject matter experts and research sources Clear and effective written and verbal communication Ability to produce high-quality work to stringent deadlines 0-3+ years of public/private experience with financial and/or regulatory reporting Bachelor's Degree in Accounting, Finance or related field Knowledge of net capital, customer reserve rules, FOCUS reporting, GAAP or product knowledge is not required but beneficial What You Can Expect From Morgan Stanley
We are committed to maintaining a first-class service and high standard of excellence. Our values guide decisions to benefit clients, communities and our 80,000+ employees in 1,200 offices across 42 countries. We offer attractive and comprehensive employee benefits and opportunities for growth. For more about offices, visit the Morgan Stanley global offices page. Salary range for the position: $90,000 - $110,000 per year. Eligible for annual discretionary incentive compensation and participation in relevant incentive plans. Benefits include medical, dental, vision, 401(k), Paid Time Off, holidays, disability and other benefits. Details at mybenefits.morganstanley.com. Equality & Diversity
Morgan Stanley is an equal opportunity employer, committed to diversifying its workforce and ensuring equal employment opportunities regardless of race, color, religion, creed, age, sex, gender identity or expression, national origin, citizenship, disability, marital status, veteran status, genetic information, or any other protected characteristic. Seniority level
Entry level Employment type
Full-time Job function
Accounting/Auditing and Finance
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Legal Entity Regulatory Controller Director – Morgan Stanley Join to apply for the
Legal Entity Regulatory Controller Director
role at
Morgan Stanley . Company & Department
Company Profile 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. The Firm emphasizes integrity, excellence and strong team ethic. The culture balances personal lifestyles and perspectives with professional needs. Department Profile The Finance Division reports to the Chief Financial Officer and consists of about 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by maintaining books and records and contributing to firmwide risk management. The division liaises with regulators and external stakeholders. Global Corporate Controllers & Planning (GCCP) oversees accounting, financial and regulatory reporting. Within GCCP, the US Legal Entity Regulatory Control team (US LE Reg) ensures US regulated entities comply with regulatory requirements, notably net capital (15c3-1, 18a1) and customer protection (15c3-3). The team prepares and files FOCUS reports, estimates net capital, and calculates customer reserve requirements daily. The group supports broker-dealer and swap dealer entities and engages in process improvements and analytics. The Analyst/Associate will support production and be engaged in analytics and insights. Responsibilities
Provide cross-entity support for daily net capital and/or customer reserve calculations Responsible for select components of monthly calculations and FOCUS reporting Identify improvement opportunities in data, process, and technology; drive improvements Production and support tasks distributed across team members Prepare and analyze daily and month-end reporting of net capital, including haircuts and regulatory capital deduction schedules Prepare daily customer reserve calculations with analysis of material changes Prepare and analyze reports filed with the SEC, FINRA and other regulators Manage the monthly Data Attestation process for information providers Assist with testing of new processes, technology and reporting improvements Address questions from Business Unit Controllers, other functional areas, and regulators Qualifications
Strong data analysis skills with large, complex data sets; Excel essential; Alteryx and coding skills beneficial Team player with relationship-building skills across US LE Reg, Operations, Business Unit Controllers and other groups Ability to learn quickly from subject matter experts and research sources Clear and effective written and verbal communication Ability to produce high-quality work to stringent deadlines 0-3+ years of public/private experience with financial and/or regulatory reporting Bachelor's Degree in Accounting, Finance or related field Knowledge of net capital, customer reserve rules, FOCUS reporting, GAAP or product knowledge is not required but beneficial What You Can Expect From Morgan Stanley
We are committed to maintaining a first-class service and high standard of excellence. Our values guide decisions to benefit clients, communities and our 80,000+ employees in 1,200 offices across 42 countries. We offer attractive and comprehensive employee benefits and opportunities for growth. For more about offices, visit the Morgan Stanley global offices page. Salary range for the position: $90,000 - $110,000 per year. Eligible for annual discretionary incentive compensation and participation in relevant incentive plans. Benefits include medical, dental, vision, 401(k), Paid Time Off, holidays, disability and other benefits. Details at mybenefits.morganstanley.com. Equality & Diversity
Morgan Stanley is an equal opportunity employer, committed to diversifying its workforce and ensuring equal employment opportunities regardless of race, color, religion, creed, age, sex, gender identity or expression, national origin, citizenship, disability, marital status, veteran status, genetic information, or any other protected characteristic. Seniority level
Entry level Employment type
Full-time Job function
Accounting/Auditing and Finance
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