Director - Audit Confirmations
We’re seeking someone to join our team as a Director in Firmwide Operations to be a part of the Audit Confirmations Team who is responsible for ensuring compliance with requirements under the Securities and Exchange Act Rule 17a-13.
In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships, driving strategic automation solutions by embracing a transformation mindset and challenging the status quo. This is a Team Specialist position at Director level within Risk, Regulatory & Resilience, which performs various independent functions to ensure adequate controls are in place. We do this by providing an integrated risk and control framework to govern, assess, mitigate and manage financial and operational risk in Operations.
Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.
At Morgan Stanley Baltimore, we support the Firm’s global Technology, Operations, Risk Management, Legal and Compliance, Internal Audit and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. There’s ample opportunity to move across the businesses for those who show passion and grit in their work.
Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…
What you’ll do in the role:
Serve as a subject matter expert within functional area, working with Team Manager to manage processes, risks and/or projects, proposing and implementing improvements/changes
Act as key problem solver for area or expertise, applying detailed knowledge to address unique or novel situations, recognize risks and draw out key issues
Coordinate work, train and develop other team members where required, including task allocation, and project contribution.
Interface closely with Compliance, Operations Technology, and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:
-Perform the quarterly Vault Count to confirm physical securities,
-Perform the Custodial Audit.
-Send Audit Confirmation requests to external counterparties, and/or clients/ brokers to verify open aged positions.
-Perform Security Based Swap Audit for MSCO & MSCS entities.
Apply Now
In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships, driving strategic automation solutions by embracing a transformation mindset and challenging the status quo. This is a Team Specialist position at Director level within Risk, Regulatory & Resilience, which performs various independent functions to ensure adequate controls are in place. We do this by providing an integrated risk and control framework to govern, assess, mitigate and manage financial and operational risk in Operations.
Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.
At Morgan Stanley Baltimore, we support the Firm’s global Technology, Operations, Risk Management, Legal and Compliance, Internal Audit and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. There’s ample opportunity to move across the businesses for those who show passion and grit in their work.
Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…
What you’ll do in the role:
Serve as a subject matter expert within functional area, working with Team Manager to manage processes, risks and/or projects, proposing and implementing improvements/changes
Act as key problem solver for area or expertise, applying detailed knowledge to address unique or novel situations, recognize risks and draw out key issues
Coordinate work, train and develop other team members where required, including task allocation, and project contribution.
Interface closely with Compliance, Operations Technology, and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:
-Perform the quarterly Vault Count to confirm physical securities,
-Perform the Custodial Audit.
-Send Audit Confirmation requests to external counterparties, and/or clients/ brokers to verify open aged positions.
-Perform Security Based Swap Audit for MSCO & MSCS entities.
Apply Now