Operations - Disclosure of Interest, Analyst
The Operations Risk & Regulatory Control Division is a global team responsible for Control (Balance Sheet Control, Credit & Market Risk, Policies & Procedures), Regulatory Reporting (Disclosure of Interest, Client Money, Transaction Reporting), Risk (Client Confidentiality, Operational Risk, BCP) and CTB Projects. The Division has over 300 team members across the Firm, with the majority residing in Baltimore, Glasgow and Mumbai as well as with Vendors in Chennai.
We currently have an opportunity within the ORRC Disclosures of Interest (DOI) Operations Hong Kong team, a team that is focused on fulfilling regulatory requirements including; Short Position Monitoring and disclosure, Substantial Shareholder position monitoring and disclosure, Takeover Code Monitoring as well as multiple other oversight functions to ensure Morgan Stanley is meeting reporting and disclosing in line with Regulations. 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 breeches across the full suite of DOI functions.
The candidate should expect to build an intricate knowledge of Asia Pacific rules and regulations pertinent to the team, Firm systems, data sources, as well as the processes that are in place to ensure compliance with regulations.
The individual will have responsibilities, including but not limited to:
- Monitoring of various exceptions to highlight potential disclosure obligations across the Asia Pacific markets. i.e. Short position and Substantial shareholder reports
- Working on tight daily or weekly deadlines
- Building a detailed understanding of each exception type, allowing accurate filings to made to the regulator
- Building knowledge of security transactions and various product types
- Acquiring an intricate knowledge of firm systems, data sources and processes, building the ability to question data integrity
- Close communication with dedicated Compliance team
- Identification and implementation of process improvements
- Providing support to other members of the team Qualifications:
The ideal candidate may have:
- Strong attention to detail
- Proficient in Excel (e.g. formulas, pivot tables) and other windows-based software (e.g. Word, Power Point)
- Strong analytical, organizational and documentation skills
- Excellent verbal and written communication abilities
- Ability to prioritize functions and tasks
- Has the ability to absorb information and learns quickly
- Ability to work under high work pressure
- Innovative and creative, challenges the existing processes and status quo.
- Excellent inter-personal skills
- Diversified financial services product knowledge
- Proficient in Microsoft Office
- Basic level of regulatory understanding
- Strong VBA is a plus