Trade Transaction Regulatory Reporting Operations Manager Trade Transaction Regulatory Reporting Operations  …

Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Trade Transaction Regulatory Reporting Operations Manager
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 747 offices in 42 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.

One of the largest divisions in the Firm, Operations is the first line of defense 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.

Institutional Securities Group Product Operations (ISGPO) partners closely with Sales & Trading and our Clients to process daily activities, develop and implement new products and services, as well as drive efficiency and reduce risk in our processes. ISGPO is comprised of 5 departments: Client Operations, Trading Operations, Financing & Collateral Operations, Trade & Transaction Reporting Operations (TTRO) and Change the Bank (CTB).

ISGPO Run the Bank

Trade & Transaction Reporting Operations (TTRO) delivers the appropriate diligence and governance over the Firm?s global transaction reporting obligations. TTRO is charged with ensuring the completeness, accuracy and timeliness of the Firm?s trade and transaction reporting and is comprised of teams in London, New York, Hong Kong, Glasgow and Mumbai, supported by a selection of vendors and third party service providers.

As the Centre of Excellence for Transaction Reporting, TTRO are engaged in the development of platforms and processes supporting upcoming regulatory change in a high focus, rapidly evolving environment. Supporting a broad stakeholder base, TTRO liaise with various internal and external counterparties daily, including other Operations teams, Sales and Trading, Non-Market Risk leads, Legal and Compliance teams, Information Technology, trade organisations such as ISDA, AFME and FIA, and Industry utilities such as DTCC and Unavista. The criticality of the function ensures senior management engagement and secures a high profile for those in the team.
- As a Line Senior Operations Specialist you will manage complex processes and/or support significant process management and project efforts with the continued rollout of the CAT regulatory regime
- The ability to work independently and handle change efforts.
- You would lead a growing team and may work as vendor oversight type of role.
- Independently manage processes and look for ways to find efficiencies when they arise.
- Manage critical projects or operational improvements with firm/client/risk/financial impact.
- Need to have a control mindset and look to actively manage down FINRA exceptions.
- Maintain and create a continuing growing list of metrics.
- You will manage key relationships with internal/external clients and Firm stakeholders and influence and negotiate with clients and/or other departments on key deliverables and timelines.


- The ability to handle multiple work streams and prioritize effectively. Need to have strong written and verbal communication skills to detail.
- Actively look for new opportunities for self-development and career progression.
- Strong knowledge base on at least one of the two asset classes (Equities or Options) or a strong regulatory reporting expertise.
- Awareness of the long term impact of regulatory environment and market changes on the business. You make plans where appropriate to adapt control processes and procedures.
- The ability to identify the right levels of control and measures required, building a strong yet flexible workflow.
- Actively ensure existence of mitigating controls and take personal responsibility for enhancing processes.
- Combine clear and appropriate escalation with suggestions on appropriate risk reduction strategies.
- Consistently exceed expectations and respond actively and positively to changing circumstances. #LI-AL1
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