About this role
This role ensures Morgan Stanley product coverage complies with applicable laws and regulations by preparing and submitting regulatory documentation and staying current with regulatory changes. The associate supports Swap Dealer obligations, transaction reporting systems, regulatory inquiries, exams, monitoring activities, and the semi-annual sub certification process.
Key Responsibilities
- Ensure Swap Dealer compliance including transaction reporting and business conduct regulations
- Prepare and submit documentation and track regulatory changes
- Analyze and support transaction reporting systems architecture and controls
- Train Operations staff and support regulatory inquiries/examinations (FINRA, SEC, NFA, CFTC)
- Support semi-annual sub certification process and monitoring/desk reviews
Technical Overview
The job requires analytical work using Power BI and SQL, plus data analytics such as trend analysis, diagnostic testing, and quality/completeness analysis. It also involves understanding the full trade lifecycle and transactional reporting control frameworks, including liaison with external parties and regulators.
Ideal Candidate
The ideal candidate has 2+ years of regulatory reporting and derivatives operations experience, specifically with Swap Dealer obligations and transaction reporting. They are proficient with Power BI and SQL for data analytics and can interpret and implement regulatory requirements for CFTC, SEC, and CSA coverage while coordinating exams and regulatory inquiries.
Must-Have Skills
Bachelor's degree in Business ManagementFinanceor a related field of studytwo (2) years of experience in the position offered or two (2) years as an Operations SpecialistAnalystor a closely related occupationRegulatory reporting including reporting to the Commodity Futures Trading Commission (CFTC)the Securities and Exchange Commission (SEC)and Canadian Securities Administrators (CSA)third-party regulatory frameworks including the International Swaps and Derivatives Association (ISDA)and Depository Trust & Clearing Corporation (DTCC)over-the- counter (OTC) derivativesfixed-income productsthe full trade lifecycle from pre-onboarding to settlementPower BIdata analytics including trend analysisdiagnostic testingand quality and completeness analysisSQLwritingmaintaining and updating proceduresregulatory interpretation and implementationcross-functional collaboration
Tools & Platforms
Power BISQL
Required Skills
regulatory reportingswap dealer obligationstransaction reportingCFTCSECCSAISDADTCCOTC derivativesfixed-income productstrade lifecyclePower BIdata analyticstrend analysisdiagnostic testingquality and completeness analysisSQLproceduresregulatory interpretationcross-functional collaboration
Hard Skills
regulatory reportingCommodity Futures Trading Commission (CFTC) reportingSecurities and Exchange Commission (SEC) reportingCanadian Securities Administrators (CSA) reportingthird-party regulatory frameworksInternational Swaps and Derivatives Association (ISDA)Depository Trust & Clearing Corporation (DTCC)over-the-counter (OTC) derivativesfixed-income productsfull trade lifecycle from pre-onboarding to settlementPower BIdata analyticstrend analysisdiagnostic testingquality and completeness analysisSQLwritingmaintaining and updating proceduresregulatory interpretation and implementationcross-functional collaborationSwap Dealer obligationstransaction reportingbusiness conduct regulationssystem architecture updates for transactional reporting systemstrain Operations staffFINRA examsSEC examsNFA examsCFTC examsregulatory inquiriesdesk reviewsmonitoring activitiessemi-annual sub certification processtransaction reporting control framework enhancementsOperational risk management
Soft Skills
liaison with government agenciescross-functional collaborationability to train Operations staffattention to detailanalytical thinking
Keywords for Your Resume
AssociateCoverage AdvisoryMorgan Stanley Services GroupInc.Swap Dealer obligationstransaction reportingbusiness conduct regulationsregulatory reportingCommodity Futures Trading Commission (CFTC)Securities and Exchange Commission (SEC)Canadian Securities Administrators (CSA)International Swaps and Derivatives Association (ISDA)Depository Trust & Clearing Corporation (DTCC)over-the- counter (OTC) derivativesfixed-income productstrade lifecyclepre-onboardingsettlementPower BIdata analyticstrend analysisdiagnostic testingquality and completeness analysisSQLFINRANFACFTC examssemi-annual sub certification process
Deal Breakers
Bachelor's degree in Business Management, Finance, or a related field of study, 2+ years experience in the offered role or as an Operations Specialist/Analyst, Must have regulatory reporting experience for CFTC, SEC, and Canadian Securities Administrators (CSA), Must have Power BI and SQL experience
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