Morgan Stanley Head of Registration

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 20 Oct 18

Morgan Stanley Head of Registration

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
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Background on the position
The Head of Morgan Stanley Registration will act as a subject matter expert for registration issues and oversee a team and processes that provide new and existing Morgan Stanley employees assistance and support with their FINRA, SEC, CFTC, Corporate Insurance Licensing and NFA registrations. They will specifically manage the registration process for over 25,000 employees.

Job Responsibilities

· Maintain knowledge on current and emerging regulations, and advise on compliance risks related to registration and licensing requirements

· Manage a team of over 40 individuals located in Baltimore, Maryland and Mumbai, India

· Function as the subject matter expert on process workflows and the systems utilized to on-board and oversee associated persons

· Oversee on-boarding, monitoring and maintenance of registered and associated persons, disclosure amendments, corporate insurance licensing, branch filings, etc.

· Oversee process, review and approval of U4s/U5s

· Handle resolution of escalated issues

· Monitor workflow to ensure all requests are processed and handled timely

· Communicate and, if necessary, provide training to the business on registration and licensing requirements

· Respond to audit, examination and regulatory requests

· Develop and maintain policies, procedures, reporting, and metrics

· Conduct and/or support annual compliance risk assessment

· Identify and recommends process improvements that significantly reduce workloads or improves quality

· Provide training and development opportunities for team members

Qualifications
· Education level: Bachelor's Degree or higher
· Series 7, 14 or 24 preferred but not required
· 10 years of experience in the financial services industry including Registration experience and 5+ years of managerial, supervisory, and/or demonstrated leadership experience
· Knowledge of FINRA, SEC, CFTC, NFA rules and requirements
· Prior experience with WebCRD, RegEd and SalesForce preferred
· Prior experience managing FINRA Licensing and Registration management experience
· Confident, comfortable communicator with strong written and verbal communication skills
· Strong project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines
· Proactive mindset in problem identification and resolution
· Familiar with Microsoft platform tools (Excel, PowerPoint, etc.)
· Independent and self-motivated
· Flexible/dependable
· Results oriented team player
· Organized, detail oriented, thorough and persistent

Qualifications:

Qualifications
· Education level: Bachelor's Degree or higher
· Series 7, 14 or 24 preferred but not required
· 10 years of experience in the financial services industry including Registration experience and 5+ years of managerial, supervisory, and/or demonstrated leadership experience
· Knowledge of FINRA, SEC, CFTC, NFA rules and requirements
· Prior experience with WebCRD, RegEd and SalesForce preferred
· Prior experience managing FINRA Licensing and Registration management experience
· Confident, comfortable communicator with strong written and verbal communication skills
· Strong project management skills including, critical ability to coordinate and balance multiple projects in a time-sensitive environment, under pressure, and meeting deadlines
· Proactive mindset in problem identification and resolution
· Familiar with Microsoft platform tools (Excel, PowerPoint, etc.)
· Independent and self-motivated
· Flexible/dependable
· Results oriented team player
· Organized, detail oriented, thorough and persistent

The role can be located in either New York or Baltimore.