E*TRADE from Morgan Stanley · 1 month ago
Bank Holding Company - Regulatory Controller/Vice President
New York, New York, United States of America
Full-time
Onsite
Director/Executive
$120K/yr - $205K/yr
15+ years expMorgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The role of Regulatory Controller involves overseeing the accuracy and control of the Firm’s financial records, managing regulatory reporting, and ensuring compliance with various financial regulations.
BankingFinanceFinancial Services
Responsibilities
Bank Holding Company Regulatory Reporting to the FRB in NY across multiple filings including:
FRY-9C, FRY-9LP, FR2314, FRY-11, FRY-10, FRY-12, FRY-12A, FFIEC 009, GSIB Phase II (I-I) and Phase III (I-A), all required Treasury International Capital (TIC) filings
Support the preparation of due diligence meeting materials and presentation to senior management and FRB
Implementation of all FRB mandated reporting, rule and instructional changes including the roll-out of new regulatory filings
Supervise, train and development of multiple Finance Shared Services FSS (regulatory reporting production teams) in Mumbai, India. Provide insights and training to FSS teams as they continue to build SME of products and processes
Review and sign-off of all New Product Approvals ( NPAs), documenting the impact of the NPA across all regulatory filings
Partner with Data Governance, providing key SME on data issue impact and remediation prioritization. Drive resolution and timely/sufficient closure of Issues and Action plans
Ensure consistency on data approach and methodology across regulatory reporting
Prepare/update documentation of rule interpretation, implementation approach and transition to new reporting platforms as applicable
Assist in coordination, preparation, response, and issue management across Regulatory Exams and Internal 2nd and 3rd line reviews. Leverage expertise, framework, approach and lessons learned across Regulatory exams
Partner with Regulatory control and governance teams to assess and mitigate risks
Progress controller led to adoption of Digital tools (i.e. Alteryx, MS Viz, UI Path)
Partner with IT and Regulatory Projects team to enhance systems and User Interface platforms to streamline E2E processes
Partner with FSS teams (Data Services and External Reporting) to incr - Partner with FSS teams (Data Services and External Reporting) to increase processing efficiency and improve E2E processes
Perform ongoing re-assessment of production activities that align to Finance Shared Services taxonomy
Participate in Regulatory Reporting training agenda
Ensure development and timely update of regulatory reporting policies and procedures
Focus on raising awareness of Diversity & Inclusion and participate in D&I initiatives, committees, and programs
Qualification
Required
CPA or Advanced Degree in Accounting/Finance or related field
15 + years of combined experience in Public Accounting and Regulatory Reporting at an international banking environment or at Consultancy Firms supporting the financial industry in regulatory reporting. Experience in risk and control matters a plus
Strong understanding of USGAAP and the Regulatory Reporting rules and requirements across our Banking industry
Strong understanding of internal controls
Ability to design and maintain reporting to drive key initiatives
Experience in assessing risk and establishing effective controls
Strong MS Excel and PowerPoint user
Excellent analytical, quantitative, and problem-solving skills
Strong communication, organizational and time management skills
Ability to interact well with others at all levels and drive objectives
Ability to handle and resolve challenges and problems
Benefits
Commission earnings
Incentive compensation
Discretionary bonuses
Other short and long-term incentive packages
Other Morgan Stanley sponsored benefit programs
Company
E*TRADE from Morgan Stanley
E*TRADE from Morgan Stanley is a pioneer in the online brokerage industry.
1001-5000 employees
Funding
Current Stage
Public CompanyTotal Funding
unknown2020-02-20Acquired
1996-08-16IPO
Leadership Team
Julia Miller
Executive Director, Creative Services
Recent News
2025-11-07
2025-10-14
Company data provided by crunchbase