Director - External Regulatory Reporting (Finance)

Morgan Stanley
Jun 11, 2024
Jul 05, 2024
Work Mode
Work from office
Full Time
Organization Type

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.

The Finance Group is responsible for overseeing the accounting, financial and regulatory reporting for the Firm. Finance prepares external financial reports for public filings and regulators. For internal reporting Finance, 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. Finance is comprised of Business Unit Controllers, Infrastructure Controllers, Accounting, Regulatory and Reporting groups, and Valuation Review.

Responsibilities include:
  • Prepare, review and submit external financial & regulatory reports & disclosures (eg., Fed Reports like Y9C, FFIEC 101, TICs, FFIEC 009, COREP reports in EMEA and SEC reports like the 10Q/K) on a monthly and quarterly basis Assist in driving process efficiencies and continuous process improvement efforts to strengthen controls.
  • Execute report pre-submission checks, implement control procedures, and review regulatory reporting requirements.
  • Maintain a consolidated list of adjustment details by report and participate in data quality improvement projects to strengthen controls, improve report accuracy and reduce manual adjustments.
  • Participate in other projects and ad-hoc requests as needed
  • Execute key reporting controls (cross filing reconciliations, variance analysis), prepare & store control evidence for the centralized report population, prepare due diligence review decks and participate in reviews with key stakeholders.
  • Review and update relevant policies and procedures.
  • Participate in Regulatory exams, internal audits and address inquiries as required.
  • Monitor developments in regulatory rule/reporting changes and support implementation of updated reporting requirements.
  • Execute ad-hoc projects to support reporting automation initiatives and regulatory reporting changes.

Skills Required:
  • 5+ years of experience in regulatory reporting production, review and submission
  • Strong relevant U.S. / EMEA regulatory reporting knowledge
  • Strong Communication skill
  • Experience in managing, developing and leading teams
  • Experience of working on reporting systems such as Regulus and Axiom

Desired Qualification
  • Chartered Accountant or equivalent specialization in Finance5+ years of experience
  • Knowledge of financial products

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.