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E*TRADE from Morgan Stanley · 1 month ago

Risk Analyst

Baltimore, Maryland, United States of America

Full-time

Onsite

Mid Level

$58K/yr - $58K/yr

E*TRADE from Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help achieve financial goals. They are seeking a Risk Analyst to join their Audit Confirmations Team, responsible for ensuring compliance with the Securities and Exchange Act Rule 17a-13 and managing various operational risks.

BankingFinanceFinancial Services

Responsibilities

Serve as a subject matter expert within functional area, working with Team Manager to manage processes, risks and/or projects, proposing and implementing improvements/changes

Act as key problem solver for area or expertise, applying detailed knowledge to address unique or novel situations, recognize risks and draw out key issues

Coordinate work, train and develop other team members where required, including task allocation, and project contribution

Interface closely with Compliance, Operations Technology, and the relevant Operations business units to ensure compliance with obligations under Rule 17a-13 namely:

Perform the quarterly Vault Count to confirm physical securities

Perform the Custodial Audit

Send Audit Confirmation requests to external counterparties, and/or clients/ brokers to verify open aged positions

Perform Security Based Swap Audit for MSCO & MSCS entities