E*TRADE from Morgan Stanley · 5 days ago
Regulatory Reporting Operations- Associate
New York, New York, United States of America
Full-time
Onsite
Mid Level
$65K/yr - $103K/yr
4+ years expE*TRADE from Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help clients achieve their financial goals. They are seeking an Associate in Operations to manage the firm's daily CAT operations reporting needs and align the outcomes of the program with the organization's business goals.
BankingFinanceFinancial Services
Responsibilities
Execute complex processes and assist a Team Manager in coordinating processes, risks and/or projects in a Team Lead capacity
Recognize risk in day-to-day processes to draw out the key issues and leverage detailed knowledge to propose changes in process
Train others, allocate tasks and support with first line escalation where required
Share expert knowledge across the team, contribute to team output and development, building relationships across the Firm
Interface with multiple operations stakeholders, Business Unit, Legal, Compliance and Technology for investigation of reporting and reconciliation exceptions, identify root causes and run governance for resolution
Monitoring and governance of data quality, FINRA CAT linkage exceptions, upstream and downstream systemic issues, industry platform issues
Ensure timely escalation of any issues to stakeholders
Working knowledge of CAT/CFTC
Improvement of controls, ensuring 100% reporting accuracy, and compliance to regulatory rules
Understanding of Automation platforms (Alteryx/Power apps/Ui Path) to eliminate manual processes and reduce errors, is a plus
Interface with Industry forums to provide representation of the firm's requirements. i.e. Industry working groups
Take lead in moderately complex initiatives and deliverables
Qualification
Required
Working knowledge of CAT/CFTC
Improvement of controls, ensuring 100% reporting accuracy, and compliance to regulatory rules
Comprehensive knowledge and understanding of functional area and operational/compliance policies and procedures of their team
Ability to operate independently with respect to some job responsibilities
Culture carrier across Operations, embracing the Firm's core values
Expertise in the trade lifecycle and the various downstream user requirements of trade and financial data
Control and Risk focus
Excellent written and verbal communication skills and confidence to lead meetings
Self motivated with a strong sense of ownership and accountability for tasks and people
Strong knowledge on multi jurisdiction regulatory reporting, exception investigation, material economic terms investigation and governance & metrics
Experience with transaction reporting preferably in FINRA Consolidated Audit Trail (CAT) or CFTC (Commodity Futures Trading Commission)
Knowledge of basic terminologies used in the financial services sector
Knowledge of project management and change management principles
At least 4 years' relevant experience would generally be expected to find the skills required for this role
Preferred
Understanding of Automation platforms (Alteryx/Power apps/Ui Path) to eliminate manual processes and reduce errors, is a plus
Interface with Industry forums to provide representation of the firm's requirements. i.e. Industry working groups
Take lead in moderately complex initiatives and deliverables
Benefits
Some of the most attractive and comprehensive employee benefits and perks in the industry
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