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Regulatory Controller - Investment Firms - Director (AVP equivalent)

Morgan Stanley
Glasgow, United Kingdom
Closing date
Jul 22, 2024

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Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Finance Regulatory Controller Director (AVP equivalent)



The Regulatory controller team in Glasgow (Reg) is responsible for executing and supervising a series of regulatory capital processes across market risk, credit risk, own funds, and leverage. The team is also responsible for the associated external reporting. Given this broad remit the Reg controller team work closely with a wide range of clients and stakeholders globally - e.g., the Credit Risk department, the Market risk department, Operations, Regulatory Policy, Legal Entity Controllers, Treasury and the Business Unit. This breadth of interaction provides an excellent and somewhat unique opportunity to learn about a range of businesses and products across the firm. Regulatory Controllers have a footprint in Glasgow, Frankfurt, Budapest, New York, London, and Mumbai.

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

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. We 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.

What will you be doing?

As part of a Regulatory Controller organisation within Glasgow the successful candidate will be involved in overseeing the ongoing compliance with existing processes, assessing / developing new Regulatory requirements, ad-hoc management reporting and supporting the supervision of external regulatory reporting submissions. They will also partner and work alongside colleagues in the overall Regulatory EMEA operating model and other key stakeholders with Finance and Risk, working works closely with the London, Dublin, Frankfurt, Budapest, and Mumbai offices.

Detailed responsibilities include but are not limited to:
• Develop understanding of the key Regulatory requirements (UK & European rule sets) which will impact across all aspects of calculation, reporting and disclosure.
• Role spans multiple entities, jurisdictions, and rulebooks, including but not limited to the EBA Investment Firm Regulation (IFR") and FCA EBA Investment Firm Prudential Regulation (IFPR").
• Deal with time sensitive internal and external reports and queries from senior management, stakeholders, auditors and regulators.
• Support the strategic development of firm systems, challenge, and work to enhance processes and controls.
• Challenge processes and procedures to enhance controls and streamline efficiencies.
• Manage reporting cycle planning, governance materials preparation and lead the maintenance and development of documentation to the standard that can be shared with Regulators .
• Manage the monthly, quarterly and annual reporting cycle process, be key point of contact for Mumbai production process team, help resolving open items and host signoff meetings with senior management and support the team lead with quarterly EBA and FCA external submissions.
• Collaborate with key stakeholders to ensure consistency in capital related data across different mediums.
• Support the team lead on Pillar 3 related deliverables.
• Manage team member's deliverables, providing training where required, including task allocations and prioritisation.

What we're looking for:
• Work experience within large financial services firms or other directly relevant experience (commensurate with role being applied for). An awareness in Financial Markets / products and the Regulatory environment.
• Close attention to detail and highly numerate. Strong commitment to developing their own skills. Strong verbal and written communication skills.
• Excellent Microsoft Office skills (Excel, Teams, PowerPoint, Word) and be proficient in data mining and investigating complex issues to extract key themes and discover root causes.
• The flexibility required to work in a dynamic environment under tight deadlines taking accountability and ownership for multiple deliverables.

We offer:
• The opportunity to work in the Finance department of one of the world's top tier Financial Institutions and gain a first-hand insight into our business.
• Professional development opportunities including access to Morgan Stanley's world-class internal training program.
• Enriching challenges that provide opportunity for constant learning and advancement.
• A supportive and vibrant diverse environment; we are inclusive of individual backgrounds and leverage them to foster our work environment and culture.
• A balance between personal and professional lifestyles, including flexible working opportunities such as work from home arrangements.
• High specification office space with leading technologies, collaborative working spaces and wellbeing facilities including an onsite fitness suite

Flexible work statement:

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here .

Equal opportunities statement:

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

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