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E*TRADE from Morgan Stanley · 4 days ago

Capital Markets, Core Processing & Risk Management Director

New York, New York, United States of America

Full-time

Onsite

Mid Level

$99K/yr - $133K/yr

4+ years exp

E*TRADE from Morgan Stanley is a global leader in financial services, and they are seeking a Director in WM Operations to be part of the CMCPR Risk Team. This role focuses on managing operational risk and ensuring compliance across various processes related to Capital Markets, Core Processing, and Risk Management.

BankingFinanceFinancial Services

Responsibilities

The Risk and Control Specialist is responsible for a broad range of operational risk management tasks supporting functional process owners in Capital Markets, Core Processing & Risk

Trade Support (e.g., Fixed Income, Equity, Syndicate, Structured Product, Futures, FX, Precious Metals, Options, Crypto, 24/5 Trading model support), Clearance, Settlement (e.g., DTC, International, FED, Stock Leading, Fail management & Buy Ins.) Asset Transfers (e.g., ACAT, DRS, DWAC, Physicals) Corporate Actions (e.g., Mandatory, Voluntary, Income & Dividend) Control function (e.g., Balance & Control, Possession or Control) Operational Risk Management functions include ensuring desktop procedure and supervisory procedures exist, conducting reviews to assess completion and performance of operations tasks, reviewing compliance with firm policies and regulatory expectations, facilitating Risk Assessments (iNFR-A), control design, business continuity, entitlement management, analyzing and reviewing operational risk incident (ORI), conducting independent monitoring, manage internal audits and compliance reviews, and analyzing key risk metrics

Additionally, the Risk team leads the coordination of external audits (e.g., SOC1, 10-K, FICCA) and internal Compliance exams

Strong organizational skills and attention to detail are required to manage multiple collection points, audiences, and fluctuating deadlines

Responsibilities may also include conducting process walkthrough meetings with Operations, designing test scripts, conducting testing, reporting results, and compiling reporting for management

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

Ability to lead by example, work with drive and determination, and put forward challenging views to senior levels

Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team

Ability to operate independently across the majority of day-to-day responsibilities

Culture carrier across Operations, embracing the Firm's core values and acting as a role model

Collaboration and teamwork skills and experience, including strong interpersonal skills

Organizational skills, with strong attention to detail, and the ability to manage multiple deadlines

Strong communication skills, both oral and written, including experience with business process documentation, and preparing management reports using PowerPoint and Excel

Strong analytical skills, including root cause analysis

Qualification

Operational Risk ManagementTrade SupportCompliance ReviewsPower BIAlteryxAnalytical SkillsCommunicationOrganizational SkillsCollaboration Skills

Required