Regulatory Disclosure Risk and Governance Specialist (Operations) – Analyst

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

Operations is one of the largest divisions in the Firm, Operations is the first line of defence for Morgan Stanley’s financial and reputational well-being and essential in delivering value. Operations is responsible for correctly settling and recording millions of transactions per day, identifying and mitigating operational risk, developing strong client relationships and partnering with technology to realize the full potential of IT and Automation. Operations has a premier team of creative and dedicated professionals, with a unique vantage point interacting with all parts of the business. The Operations Senior Management team is passionate about our people development and providing top-notch employee opportunities through an inclusive, forward-looking environment defined by open communication, collaboration, learning and dedicated career management.

Operations Risk & Regulatory Control performs various independent functions to ensure adequate controls are in place, through providing an integrated risk and control framework to govern, assess, mitigate and manage regulatory, financial and operational risk in Operations. The team focuses on implementing appropriate internal controls, business processes, internal management reporting and analysis to mitigate operational risk and fulfil regulatory reporting requirements.

Primary Responsibilities

This role is within the Operations Risk & Regulatory Control (ORRC) Disclosure of Interest (DOI) regulatory reporting team, who are responsible for ensuring the timely and accurate monitoring & submission of shareholder disclosure & transparency obligations on behalf of the firm. This role is a business critical control role required to provide coverage across all DOI functions and regulatory reporting obligations, as well as to reduce the risk of regulatory breaches across the full suite of DOI functions.

The candidate should expect to build an intricate knowledge of rules and regulations pertinent to the team, firm systems and data sources, as well as the processes that are in place to ensure compliance with regulations.

The Successful Candidate Will

• Be at the forefront of ensuring Morgan Stanley meets its monitoring & reporting requirements demonstrating a can do attitude
• Monitor various exceptions to highlight potential disclosure obligations across EMEA (c.30 jurisdictions)
• Work to tight daily deadlines
• Build a detailed understanding of each exception type, allowing accurate filings to made to the regulator
• Build knowledge of security transactions and various product types
• Build an intricate knowledge of rules and regulations pertinent to the team, firm systems and data sources, as well as the processes that are in place to ensure compliance with regulations
• Build excellent working relationships with global stakeholders which include internal legal/compliance contacts, operations colleagues and technology support
• Identify and implement process improvements
• Provide support to other members of the team
• Work as part of a team to deliver projects to enable new business or improve control framework

Skills Required

• Excellent organisation, planning and execution skills
• Ability to take ownership for, lead and coordinate multiple deliverables
• Strong analytical and problem solving skills, excellent attention to detail
• Strong verbal and written communication skills
• Ability to work independently as well as part of a team
• Ability to build relationships and partner with colleagues within the team and across functions
• Ability to work to stringent deadlines
• Ability to work under pressure
• Strong experience of MS Office, particularly Excel
• Knowledge of Equity Products preferable, including stocks, listed & OTC derivatives
• Strong functional knowledge of Operations and trade lifecycle preferable
• Familiarity with project management and delivery preferable
• Familiarity with regulatory reporting regulation rules and requirements preferable
• Familiarity with Morgan Stanley Operations systems, processes and frameworks preferable

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.

Posting Date

Feb 1, 2022

Primary Location

Europe, Middle East, Africa-United Kingdom-United Kingdom-Glasgow

Education Level

Bachelor’s Degree

Job

Other

Employment Type

Full Time

Job Level

Analyst