Regulatory Reporting Quality Assurance Director bei Ms

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. 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.

Department Profile

The Finance Division reports to the Chief Financial Officer and consists of some 2500 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firm's books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley's various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley's various businesses and its senior management team.

The Global Corporate Controllers and Planning (GCCP) is responsible for financial and regulatory reporting of the consolidated Firm and its legal entities, accounting and regulatory policy and advisory, controllership of the Firm's infrastructure areas and management of the Finance risk and change programs. GCCP prepares external financial reports for public filings and regulators. For internal reporting GCCP, along with Financial Planning and Analysis (FPA), summarizes, plans and forecasts the organization's financial position, including income statements, balance sheets, and analyses of future revenues, expenses and earnings.

Job Summary

The role will reside within the Finance Division, under the Finance Risk and Assurance group, specifically into the group's Regulatory Reporting Quality Assurance team (RRQA). The Finance Risk and Assurance group is represented in our Glasgow, London, New York, Tokyo, Hong Kong and Mumbai offices performing an oversight, governance and execution role in relation to the Finance division in support of the Firm's operational risk programs and objectives. The group interacts across all areas of Finance, Firm Operational Risk Department, the Front Office, Internal Audit as well as Operations, providing accurate risk reporting across Finance whilst furthering the risk management culture and infrastructure. The RRQA team within this group sits in the New York, Glasgow and Mumbai offices.

The Regulatory Reporting Quality Assurance Director will be responsible for performing various activities related to second line independent validations. They will work to promote completeness and accuracy of regulatory reporting data quality by independently validating Basel/Liquidity processes and controls from transaction capture through to global regulatory reporting. Products subject to review may include derivatives, loans, securitizations, and other debt and equity. Responsibilities

> Design programs to test controls to ensure they are working as designed by reviewing documentation, meeting with management to discuss the business processes, and observing general business operations
> Perform data analysis to identify anomalies or issues in the testing of controls
> Identify the root cause for control deficiencies and evaluate management action plans to address deficiencies
> Document internal activities, identified issues, and conclusions to assist the team with reporting to the stakeholders
> Take ownership of assigned tasks and seek out ways to improve the process
> Accountable for meeting deliverables, adhering to quality and methodology standards, including incorporating real-time feedback from supervisors
> Take initiative to consider and recommend problem resolution to the team and manager
> Continually seek to learn through asking questions, getting exposure to new opportunities and training sessions

Qualifications

> A bachelor's degree in an accounting, finance or business discipline, supported by 5+ years work experience, preferably in financial services or in a public accounting firm
Required
> Prior audit (external, internal and/or SOX) experience
> Experience working in the financial services industry and have an understanding of CCAR, Basel, Liquidity and/or other regulatory reporting
> Strong documentation skills including the audit scope, test papers and issues that may arise
Preferred
> Experienced with testing and assessing remediation plans
> Excellent analytical and problem-solving skills; exhibit professional skepticism and curiosity
> Strong communication skills including presentation and written skills, including the ability to liaise with and influence senior subject matter experts
> Proven ability to quickly assess problems, identify effective solutions, and focus on what matters most
> Possesses keen attention to detail and able to manage time efficiently
> Seeking a candidate who is positive, proactive, engaged and open to new ways of doing things
> Ability to work within a team and to collaborate with peers and leadership to create effective solutions to validation issues

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 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Expected base pay rates for the role will be between $90,000 and $155,00 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).