Regulatory Reporting- Analyst 3

Morgan Stanley•Baltimore, MD

9d•$58,000 - $62,000

About The Position

We are seeking a detail-oriented and compliance-driven individual to join our Regulatory Reporting team within Wealth Management Operations. This team is responsible for ensuring accurate, timely, and complete reporting of equity and options transactions to regulatory bodies such as FINRA and the SEC. The role is critical in maintaining the firm's reputation, mitigating regulatory risk, and supporting operational excellence. In the Operations division, we partner with business units across the Firm to support financial transactions, devise and implement effective controls and develop client relationships. This is an Analyst level position level position within the Core Services, which is responsible for performing and managing product-a gnostic and centralized operational services across several businesses and products. Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals. At Morgan Stanley Baltimore, we support the Firm’s global Technology, Operations, Risk Management, Legal and Compliance, Internal Audit and Finance divisions. Morgan Stanley has been rooted in the Baltimore community since 2003. Our talented and diverse team is one of the largest in the U.S. outside of our New York headquarters and home to industry leading cybersecurity innovation with multiple patents and awards. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. There’s ample opportunity to move across the businesses for those who show passion and grit in their work. WHAT YOU CAN EXPECT FROM MORGAN STANLEY: We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.

Requirements

Excellent communication skills, both verbal and written.
Demonstrated attention to detail and commitment to delivering high-quality, compliant work.
Ability to handle high volumes of data and reporting deadlines while maintaining professionalism and accuracy.
Proven problem-solving skills with the ability to work independently and under pressure.
Proficiency with Microsoft Office

Responsibilities

Prepare and submit regulatory reports for equities and options (e.g., CAT, TRACE, LOPR) in accordance with FINRA, SEC, and other regulatory requirements.
Monitor daily trade activity to identify and resolve reporting exceptions, mismatches, and late filings.
Collaborate with trading desks, compliance, technology, and other operations teams to resolve escalated or complex reporting issues.
Maintain up-to-date knowledge of market mechanics, trading regulations, and firm policies related to regulatory reporting.
Perform detailed reconciliations of trade activity and regulatory submissions to ensure accuracy and alignment with internal controls and regulatory requirements.
Support internal and external audits, including preparing documentation and responding to inquiries from auditors and regulators.
Participate in process improvements, system enhancements, and user acceptance testing for regulatory reporting platforms.
Escalate trends, process gaps, or control issues that may require remediation or additional training.

Benefits

A collaborative and supportive team environment.
Opportunities for career growth and professional development.
A chance to directly impact the firm's regulatory compliance and client experience in Wealth Management.
Medical, Prescription Drug, Dental, Vision, Health Savings Account, Dependent Day Care Savings Account, Life Insurance, Disability and Other Insurance Plans, Paid Time Off (including Sick Leave consistent with state and local law, Parental Leave and 20 Vacation Days annually), 10 Paid Holidays, 401(k), and Short/Long Term Disability, in addition to other special perks reserved for our employees.

Stand Out From the Crowd

Upload your resume and get instant feedback on how well it matches this job.

Upload and Match Resume