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We're seeking someone to join our team as a Director in Firmwide Operations to be a part of the Audit Confirmations Team responsible for ensuring compliance with requirements under the Securities and Exchange Act Rule 17a-13.
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 driving strategic automation solutions by embracing a transformation mindset and challenging the status quo. This is a Team Specialist position at Director level within Risk, Regulatory & Resilience which performs various independent functions to ensure adequate controls are in place. We do this by providing an integrated risk and control framework to govern, assess, mitigate, and manage financial and operational risk in Operations.
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.
At Morgan Stanley Baltimore we support the Firm’s global Technology, Operations, Risk Management, Legal and Compliance, Internal Audit, and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry-leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. There’s ample opportunity to move across the businesses for those who show passion and grit in their work.
What you’ll do in the role:
Serve as a subject matter expert within the functional area working with the Team Manager to manage processes, risks, and/or projects, proposing and implementing improvements/changes
Act as a key problem solver for the area or expertise, applying detailed knowledge to address unique or novel situations, recognizing risks, and drawing out key issues
Coordinate work, train, and develop other team members where required, including task allocation and project contribution
Interface closely with Compliance Operations, Technology, and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:
Perform the quarterly Vault Count to confirm physical securities
Perform the Custodial Audit
Send Audit Confirmation requests to external counterparties and/or clients/brokers to verify open aged positions
Perform Security-Based Swap Audit for MSCO & MSCS entities
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 the 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
Exceptional organizational skills and a high degree of attention to detail
At least 4 years of relevant experience would generally be expected to find the skills required for this role
Required Experience:
IC
Key Skills:
Interventional Radiology
Information Technology Sales
Jdbc
Glass
Architecture
Employment Type: Full Time
Experience: years
Vacancy: 1
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We're seeking someone to join our team as a Director in Firmwide Operations to be a part of the Audit Confirmations Team responsible for ensuring compliance with requirements under the Securities and Exchange Act Rule 17a-13.
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 driving strategic automation solutions by embracing a transformation mindset and challenging the status quo. This is a Team Specialist position at Director level within Risk, Regulatory & Resilience which performs various independent functions to ensure adequate controls are in place. We do this by providing an integrated risk and control framework to govern, assess, mitigate, and manage financial and operational risk in Operations.
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.
At Morgan Stanley Baltimore we support the Firm’s global Technology, Operations, Risk Management, Legal and Compliance, Internal Audit, and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry-leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers fueled by their diverse backgrounds and experiences. There’s ample opportunity to move across the businesses for those who show passion and grit in their work.
What you’ll do in the role:
Serve as a subject matter expert within the functional area working with the Team Manager to manage processes, risks, and/or projects, proposing and implementing improvements/changes
Act as a key problem solver for the area or expertise, applying detailed knowledge to address unique or novel situations, recognizing risks, and drawing out key issues
Coordinate work, train, and develop other team members where required, including task allocation and project contribution
Interface closely with Compliance Operations, Technology, and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:
Perform the quarterly Vault Count to confirm physical securities
Perform the Custodial Audit
Send Audit Confirmation requests to external counterparties and/or clients/brokers to verify open aged positions
Perform Security-Based Swap Audit for MSCO & MSCS entities
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 the 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
Exceptional organizational skills and a high degree of attention to detail
At least 4 years of relevant experience would generally be expected to find the skills required for this role
Required Experience:
IC
Key Skills:
Interventional Radiology
Information Technology Sales
Jdbc
Glass
Architecture
Employment Type: Full Time
Experience: years
Vacancy: 1
#J-18808-Ljbffr