Regulatory Reporting Operations- Associate

Reposted Yesterday
Be an Early Applicant
New York, NY, USA
In-Office
65K-103K Annually
Mid level
Fintech • Financial Services
The Role
Manage daily CAT operations reporting, investigate and resolve reporting/reconciliation exceptions, monitor data quality and FINRA CAT linkage issues, improve controls and automation, liaise with stakeholders (Business, Legal, Compliance, Technology), lead moderate initiatives, and ensure regulatory reporting accuracy and timely escalation.
Summary Generated by Built In

We're seeking someone to join our team as an Associate in Operations to be responsible for the firm's daily CAT operations reporting needs and operate priorities to align the outcome of the program with the organization's overall business goals. The individual will be part of the CAT team.
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. This is an Associate level position within Core Services, which is responsible for performing and managing product-agnostic and centralized operational services across several businesses and products.
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.
Interested in joining a team that's eager to create, innovate and make an impact on the world?
What you'll do in the role:
> Execute complex processes and assist a Team Manager in coordinating processes, risks and/or projects in a Team Lead capacity
> Recognize risk in day-to-day processes to draw out the key issues and leverage detailed knowledge to propose changes in process
> Train others, allocate tasks and support with first line escalation where required
> Share expert knowledge across the team, contribute to team output and development, building relationships across the Firm
> Interface with multiple operations stakeholders, Business Unit, Legal, Compliance and Technology for investigation of reporting and reconciliation exceptions, identify root causes and run governance for resolution
> Monitoring and governance of data quality, FINRA CAT linkage exceptions, upstream and downstream systemic issues, industry platform issues.
> Ensure timely escalation of any issues to stakeholders

>Working knowledge of CAT/CFTC
> Improvement of controls, ensuring 100% reporting accuracy, and compliance to regulatory rules.
> Understanding of Automation platforms (Alteryx/Power apps/Ui Path) to eliminate manual processes and reduce errors, is a plus
> Interface with Industry forums to provide representation of the firm's requirements. i.e. Industry working groups
> Take lead in moderately complex initiatives and deliverables.

What you'll bring to the role:
> Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team
> Ability to operate independently with respect to some job responsibilities
> Culture carrier across Operations, embracing the Firm's core values
> Expertise in the trade lifecycle and the various downstream user requirements of trade and financial data
> Control and Risk focus.
> Excellent written and verbal communication skills and confidence to lead meetings.
> Self motivated with a strong sense of ownership and accountability for tasks and people
> Strong knowledge on multi jurisdiction regulatory reporting, exception investigation, material economic terms investigation and governance & metrics.
> Experience with transaction reporting preferably in FINRA Consolidated Audit Trail (CAT) or CFTC (Commodity Futures Trading Commission)
> Knowledge of basic terminologies used in the financial services sector.
> Knowledge of project management and change management principles.
> At least 4 years' relevant experience would generally be expected to find the skills required for this role

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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 $65,000 and $103,000 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 is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.

Skills Required

  • Working knowledge of CAT and CFTC reporting requirements
  • Experience with transaction reporting, preferably FINRA Consolidated Audit Trail (CAT) or CFTC
  • Strong knowledge of multi-jurisdiction regulatory reporting, exception investigation, governance and metrics
  • Expertise in trade lifecycle and downstream trade and financial data requirements
  • Control and risk focus with ability to improve controls and ensure regulatory compliance
  • At least 4 years' relevant experience
  • Excellent written and verbal communication skills and confidence to lead meetings
  • Ability to operate independently and take ownership of tasks and people
  • Knowledge of project management and change management principles
  • Knowledge of basic financial services terminology
  • Experience interfacing with stakeholders (Business Unit, Legal, Compliance, Technology) and industry forums
  • Familiarity with automation platforms (Alteryx, Power Apps, UiPath) to reduce manual processes

Morgan Stanley Compensation & Benefits Highlights

The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Morgan Stanley and has not been reviewed or approved by Morgan Stanley.

  • Parental & Family Support Family support is extensive, with paid parental leave for all parents, adoption and fertility assistance, backup childcare, and eldercare resources. Feedback suggests these programs meaningfully enhance the overall package and help with retention.
  • Healthcare Strength Health coverage spans medical, dental, vision, mental‑health access, care navigation, and expert second opinions. Convenient primary care access and condition‑specific support reinforce the depth of healthcare coverage.
  • Equity Value & Accessibility Equity compensation and stock ownership are positioned as core motivators that encourage commitment and retention. Feedback suggests education and support are provided to help participants manage equity and related financial benefits.

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The Company
HQ: New York, NY
87,899 Employees

What We Do

Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. For over 85 years, the firm’s reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. A consistent industry leader throughout decades of dramatic change in modern finance, Morgan Stanley will continue to break new ground in advising, serving and providing new opportunities for its clients. Morgan Stanley is committed to maintaining the first-class service and high standard of excellence that have always defined the firm. At its foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide its more than 60,000 employees in 1,200 offices across 41 countries.

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