Associate - US Legal Entity Regulatory Control - Digital Tools and Process Improvement Specialist

Global Corporate Controllers (GCC) is responsible for overseeing the accounting, financial and regulatory reporting for the Firm. GCC prepares external financial reports for public filings and regulator. For internal reporting, GCC along with Business Unit Controllers and Financial Planning and Analysis, summarizes, plans and forecasts the organization's financial position, including income statement, balance sheet and analyses of future revenues, expenses and earnings.

Within GCC, the US Legal Entity Regulatory Control team (US LE Reg) is responsible for ensuring compliance with various regulatory requirements, particularly net capital (15c3-1, 18a-1) and customer protection (15c3-3). The group prepares and files monthly Financial and Operational Combined Uniform Single (FOCUS) reports and estimates net capital while calculating customer reserve requirements daily.
The team plays a crucial role in process improvement and renovation, leveraging digital tools and automation to enhance regulatory control functions. Key initiatives include optimizing data sourcing and streamlining reporting and process efficiencies. The Associate/Director will support production while leading transformation efforts to modernize and enhance regulatory processes.

Responsibilities

The Associate will focus on process renovation, automation, and data-driven improvements. The role involves identifying inefficiencies, assessing, and rebuilding processes using advanced digital tools to enhance accuracy, efficiency, and regulatory compliance. Key responsibilities include:
> Assessing, improving, and redesigning regulatory control processes to enhance efficiency and compliance.
> Conducting in-depth data analysis to identify opportunities for automation and process optimization.
> Re-engineering processes using Alteryx, Tableau, Power BI, and other digital tools to enhance reporting and process accuracy.
> Automating and improving FOCUS reporting, regulatory filings, and reserve calculations
> Assisting in the testing and implementation of new technologies for process improvement
> Collaborating with Business Unit Controllers, Finance Digital teams, and other stakeholders to ensure regulatory Skills required.

- Expertise in Alteryx, licensing is plus.
- Proficiency in Tableau, Power BI, and other data visualization
- Strong analytical skills, with experience handling large, complex datasets to drive insights and decision-making.
- Ability to assess, redesign, and implement process improvements using digital automation tools.
- Strong communication skills, capable of clearly articulating technical and process changes to various stakeholders.
- Able to produce high quality work to stringent deadlines.
- 3+ years of public/private experience with financial and/or regulatory reporting
- Bachelor's degree in accounting or finance or technology
- The position does not require specific knowledge of net capital or customer reserve rules, FOCUS reporting, generally accepted accounting principles (GAAP) or product knowledge, but it would be beneficial.

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.

We're committed to bringing passion and customer focus to the business.

Salary range for the position:$65,000 - $95,000/Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Morgan Stanley offers a full spectrum of benefits, including Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings.

Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.

It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.

Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).