Regulatory Controller - Senior Manager

Posted on Jan 20, 2019 by Morgan Stanley USA

New York, NY 10001
1 Jan 2019
Annual Salary
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
The Finance Division reports to the Chief Financial Officer and consists of some 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by serving as guardian of the Firm's books and records, and by contributing to firm wide risk management and risk reduction. This division maintains relationships with Morgan Stanley's various industry and government regulators, and also serves as the conduit of financial information to the outside investment community. Finance plays a critical role as advisor to Morgan Stanley's various businesses and its senior management team.

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

Regulatory Controllers Group in Financial Control Group (FCG) is looking to hire a Associate / Manager to support the CCAR 14Q and 14A filings production coordination and control.

Responsibilities include:
- Assist in the coordination and communication of the CCAR production calendar to relevant teams including Reg Reporting providers, treasury, and attestation leads to confirm process timeline and ownership of controls/attestations.
- Work with key stakeholders to understand changes to Fed templates and ownership changes and their impact to existing requirements.
- Work with key stakeholders to document the controls around open issues, confirm action plans and follow up on closure of the open items
- Assess Controls inventory for changes in instructions, business, risk, processes, and people and communicate changes required for implementation in the production and attestation workflow tools.
- Ensure that all controls, procedures and control standards are documented.
- Ensure that all FAQs and instruction updates are communicated to relevant parties.
- Participate in technology improvement initiatives (Migration of attestations to strategic platform, automation of reconciliations, etc)


- BS/BA in Accounting and 5+ years relevant Regulatory Reporting or closely related industry experience.
- Relevant governance, audit, control, and leadership experience, specifically in areas of accounting, risk management, and finance in a large financial institution
- Regulatory Reporting preparation and leadership experience, with specific knowledge of FR Y14, FR Y9C and/or Capital reporting a plus
- Strong executor that is able to lead across organizational lines and drive progress on priorities and issues.
- Ability to communicate complex ideas in a clear and concise manner, shaping the opinions and actions of key stakeholders and gaining their trust.
- Proficiency in MS Office applications; i.e. Excel, PowerPoint. Access a plus.
- Excellent analytical, quantitative and problem solving skills.
- Strong communication, organizational and time management skills.
- Ability to work under the pressure of deadlines.
- Ability to handle and resolve recurring challenges and problems. Regulatory Controller - Senior Manager

Reference: 619600302

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