Regulatory Reporting & Governance - Director

Mumbai (MSA)-Maharashtra-India
Not disclosed
26 Jan 2022
09 Feb 2022
Approved employers
Approved employer
Contract type
Full time
Experience level

Job Description

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.


  • Setting up of CCAR (14Q/14A/14M) attestations and Non-CCAR attestations, monitoring progress, following up with the Reg controllers and troubleshooting for the timely completion of attestation cycle.
  • Preparing metrics to monitor and notify progress of attestations to NY Sr. Management
  • Performing change management as administrators of attestations process, seeking approvals as appropriate from an audit standpoint; performing control checks/reviewing audit reports to monitor issues/changes and escalating as appropriate
  • Providing recommendation/support for better system integration/enhancements in attestations
  • Process (Axiom/CILA/OP/Collibra/CFOA portal), raise JIRA, perform UAT testing and monitor production migration
  • Perform UAT testing to support Axiom Regulatory Reporting related Production QCs, Vendor Updates on behalf of Controllers, seek requirement/clarifications, provide walkthroughs, and obtain final sign-off
  • Perform reconciliations (direct/ indirect) to across Reg filings (e.g. FR Y9C, 14Q, FFIEC 101) to ensure data accuracy/consistency;
  • Work closely with Regulatory Reporting teams to escalate reconciliation issues.
  • Prepare Manual Journal analysis (FFIEC 102, FFIEC101, FRY15, FR Y9C, 14Q, 14M, FFIEC 009, FR 2436) and Peer analysis (for Pillar 3, FFIEC 101 & OTC Notional) for several regulatory reports
  • Provide ongoing review of reconciliation population and procedures to ensure completeness/accuracy
  • Coordinate for Issues-Action Plan, Policy-Procedure monitoring, following up with Controller by due dates to ensure closure on a timely basis
  • Provide analytical support for adhoc projects and audit requests
  • Provide analysis and reporting to support attestation framework and manual adjustment metric reporting
  • Work on various reports like Global Governance deck and Weekly summaries to the senior management within the firm.
  • Assess and document the Firms operational risk and controls, enabling risk identification
  • Prioritize residual risk remediation efforts or risk accept, leveraging the Risk Level Standards


  • Bachelor's degree

For further information, and to apply, please visit our website via the “Apply” button below.

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