Trading Operations Analyst / Associate

Morgan Stanley
New York, USA
Aug 09, 2022
Aug 11, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
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 Risk & Regulatory Control performs various independent functions to ensure adequate controls are in place, through providing an integrated risk and control framework to govern, assess, mitigate and manage regulatory, financial and operational risk in Operations. The team focuses on implementing appropriate internal controls, business processes, internal management reporting and analysis to mitigate operational risk and fulfil regulatory reporting requirements.
Primary Responsibilities:
- This role is within the Operations Risk & Regulatory Control (ORRC) Disclosure of Interest (DOI) regulatory reporting team, who are responsible for ensuring the timely and accurate monitoring & submission of shareholder disclosure & transparency obligations on behalf of the firm. This role is a business critical control role required to provide coverage across all DOI functions and regulatory reporting obligations, as well as to reduce the risk of regulatory breaches across the full suite of DOI functions.
- The candidate should expect to build an intricate knowledge of rules and regulations pertinent to the team, firm systems and data sources, as well as the processes that are in place to ensure compliance with regulations.
The successful candidate will:
- Be at the forefront of ensuring Morgan Stanley meets its monitoring & reporting requirements demonstrating a can do attitude.
- Monitor various exceptions to highlight potential disclosure obligations across EMEA (c.30 jurisdictions).
- Work to tight daily deadlines
- Build a detailed understanding of each exception type, allowing accurate filings to made to the regulator
- Build knowledge of security transactions and various product types
- Build excellent working relationships with global stakeholders which include internal legal/compliance contacts, operations colleagues and technology support
- Identify and implement process improvements
- Provide support to other members of the team


- Excellent organisation, planning and execution skills.
- Ability to take ownership for, lead and coordinate multiple deliverables
- Strong analytical and problem solving skills, excellent attention to detail
- Strong verbal and written communication skills
- Ability to work independently as well as part of a team
- Ability to build relationships and partner with colleagues within the team and across functions
- Ability to work to stringent deadlines
- Ability to work under pressure
- Strong experience of MS Office, particularly Excel
- Knowledge of Equity Products preferable, including stocks, listed & OTC derivatives.
- Strong functional knowledge of Operations and trade lifecycle preferable
- Familiarity with regulatory reporting regulation rules and requirements preferable
- Familiarity with Morgan Stanley Operations systems, processes and frameworks preferable
Interested in flexible working opportunities. Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements.

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