Job ref no.: CT3114388-01#8265

Operations Risk & Regulatory Control (ORRC) Regulatory Reporting Quality Assurance AVP

Morgan Stanley

- Description of RoleOperations Risk and Regulatory Control Group (ORRC) is a global team committed to ensure that adequate controls are in place to mitigate operational risk across Operations and to protect the firm from such risks.
Regulatory Reporting Quality Assurance (RRQA) team is a key part of the Regulatory pillar within the ORRC Regulatory Reporting Oversight Group focuses on ensuring that Morgan Stanley complies with regulatory reporting obligations with completeness, accuracy and timeliness. This is achieved through independent testing against of controls against Inherent regulatory reporting risks.
The candidate should expect to build knowledge of regulatory reporting regulations, first line testing methodology, firm systems, data sources, products, operational risk incidents as well as the processes that are in place to ensure compliance with regulations.
The successful candidate must work closely with the members of all of the Operations Regulatory Reporting functional groups as well as other stakeholders across the Firm. The primary relationships will be with the Regional Operations Responsible Officers, Report Owners, Risk Managers, Regional Head of Operations of the Functional Silo, Global Head of RRQA, Compliance and Technology.

Key responsibilities:
Compile and organize QA finding report and annual report.
Partner with colleagues across functions and lead project effectively across geographical boundaries.
Analyze and assess existing processes in identifying actions required to comply.
Write documents for presentation to senior management and lead management updates & meetings.
Regular engagement with Operations stakeholders, Compliance, Internal Audit and Technology for ongoing QA review and to define and re-design testing models to achieve effectiveness.
Provide regular update to the Global and Regional Governance Committee members
Support the Team Lead to perform independent risk incident review, independent closure verification of external/ internal audit findings and to support ad hoc risk management request.

Strong Audit/testing skillset and background with 5+ years of experiences in performing testing with a focus in Investment Banking Industry regarding Regulatory Compliance and/or Regulatory Reporting.
Strong analytical skills. Data modeling Analytical skills is preferred.
Excellent communication and influencing skills.
Ability to work within tight delivery timeframes and multi-tasking.
Strong problem solving skills.
Strong experience with MS Office (Excel, Power Point, Visio and Access).
Strong project management skill.
Investment banking product knowledge is preferred.

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More job information
Job ref no. CT3114388-01#8265
  • N/A
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree