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Regulatory Reporting - Executive Director
Morgan Stanley
New York, NY, United States
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Description
The Equity Compliance Reporting group is responsible for trade based regulatory reporting obligations. These include Electronic Blue Sheets, OATS, Rule 605, and Rule 606 Reporting. In addition, the team is responsible for ad-hoc regulatory requests for trade data for the Americas and Europe.
Compliance Technology is looking for a highly motivated and senior leader to join its team in New York. This will be an experienced technology portfolio manager leading the Regulatory Reporting team in North America. The ideal candidate will have significant expertise in capital markets operations and technology, including trade flows and the associated data, and will have worked on Compliance and Regulatory Reporting applications.
Responsibilities
The candidate will be responsible for a number of regulatory reporting applications and the execution of several regulatory projects, most importantly the Consolidated Audit Trail (CAT) project for Morgan Stanley.
• Manage a team of 20 technology professionals
• Manage OATS, Electronic Blue Sheets, and Trade Inquiry applications, including infrastructure, production support, and development and testing.
• Execute several regulatory projects in parallel, across different regulatory regimes.
• Foster relationships between Compliance Technology and the Compliance, Risk, and Operations departments, and other in-business technology teams. Exert influence on project decisions and priorities.
• Act as a technology-resident expert on regulations and the business domain expertise, and advocate for reasonable and commercial solutions.
Qualifications
• 10+ years in the financial industry as a technology professional, ideally in Compliance or Regulatory projects.
• Proven project and people management experience, including off-shore development sites.
• Proven knowledge of capital markets operations and data flows, particularly in cash equity and listed derivatives.
• Sound understanding of Consolidated Audit Trail (CAT) requirements