Operations Director; AVP - Trade and Transaction Reporting

Operations Director (AVP) - Trade and Transaction Reporting

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This Director (AVP) level role is within Trade and Transaction Reporting Operations (TTRO)’s Diagnostic Testing Team, who are responsible for building data driven and fully automated controls in firm’s technology systems. These tests are key controls to measure the accuracy and completeness of Morgan Stanley’s transaction reporting submissions. The team develops data analytics and visualization tools using Power

BI, Tableau, SQL, and Python to give accurate, timely, and data‑driven insight to senior management. The role also requires centrally coordinating, managing and controlling the process across vendor and other geographical locations to ensure regulatory reporting exceptions are managed effectively.

Given the ever‑changing regulatory landscape, technology priorities are aligned to areas of maximum exposure and operations receive necessary rule guidance and interpretation from compliance to support new and existing requirements effectively.

• Manage a workflow and book of work for F2B Tests as well as the fully automated diagnostic tests across multiple regulatory regimes covering EMEA (MiFID, EMIR, SFTR), US (SEC, CFTC) and APAC (HKMA, ASIC, MAS, JFSA) transaction reporting.
• Perform data analysis & visualizations using data science tools (Power
  
  BI, Qlik View, SQL, MS Excel) to evidence the reporting trends.
• Manage the diagnostic rule coding book of work to ensure fully automated rules are coded and executed in firm testing engine (PanDQ).
• Manage the issue management (observations) book of work and present potential transaction reporting issues to TTRO and compliance stakeholders.
• Manage the industry working group process flow and drive firm’s agenda on industry forums (ISDA, FIA, etc.) and maintain a good understanding of upcoming regulatory reporting rules.
• Act as a first escalation point and provide guidance and coaching to the team around transaction reporting queries.
• Coordinate across multiple stakeholders such as RTB, Technology, Trade Support Groups (TSG) to undertake remediation steps to resolve reporting issues in diagnostic testing.
• Review controls within the process to ensure procedures and process maps are reviewed regularly and kept up‑to‑date on firm’s policy portal.
• Liaise with multiple operations line teams to provide guidance and support for transaction reporting.
• Maintain team’s skills matrix (depth charts) and training plans, and assist with delivery of training on transaction reporting systems and processes.
• Take ownership for and follow through to conclusion on any issues or questions submitted to diagnostic testing team.

• Knowledge of transaction reporting regimes (e.g. MiFID, EMIR, etc.).
• Knowledge of securities and derivative products preferable, including listed derivatives, FX, commodities, equity, credit and interest rates.
• Working knowledge & experience of data analytics tools such as Power
  
  BI, SQL, Python.
• Strong proficiency in MS Excel & PowerPoint.
• Ability to work independently as well as part of a team, including interfacing across all levels and with vendors.
• Strong verbal and written communication skills.
• Strong analytical and problem‑solving skills.
• Ability to work to stringent deadlines.
• Ability to partner with colleagues across functions and lead effectively across geographical boundaries.
• Strong functional knowledge of operations and trade lifecycle preferable.

We are committed to maintaining the first‑class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values—putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back—aren’t just beliefs, they guide the decisions we make every day to do what’s best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries.

At Morgan Stanley, you’ll find an opportunity to work alongside the best and the…