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Operations Risk and Regulatory Control - Client Asset Protection Director/AVP, Firmwide Operations
Morgan Stanley
New York, NY, United States
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Description
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.
Operations is one of the largest divisions in the firm and has diverse responsibilities, including correctly settling and recording millions of transactions per day, identifying and mitigating all operational risks, developing strong client relationships and partnering with technology to realize the full potential of IT and e-solutions. Throughout, the Operations department continually seeks ways to improve while actively supporting the development of new businesses, structures and markets.
This role will primarily be responsible for performing daily tasks associated with the review, validation, and oversight of operational data impacting the 15c3-3 Customer Protection Possession or Control, and other ad-hoc duties as assigned. This person would also be responsible for researching and pulling all required documents for responding to internal and external audit request.
Qualifications
• Conduct weekly meetings with GRU to perform a front to back review regarding age deficit management to determine cause and resolution.
• Providing oversight/Supervision over the deficit management process.
• Review and Validate various reports to ensure compliance of 15c3-3 possession or control.
• Weekly Review of 15c3-3 deficits to ensure the appropriate action is being take to remediate deficits.
• Perform weekly review and sign off.
• Research and analyze all ad hoc requests that were assigned related to asset protection.
• Highly motivated self-starter with multi-tasking abilities.
• Detail oriented and well organized.
• Knowledge of the regulatory requirements for 15d3-3 Asset protection.