Legal Entity Regulatory Controller Director

OverviewLegal Entity Regulatory Controller Director – Morgan StanleyJoin to apply for the Legal Entity Regulatory Controller Director role at Morgan pany & DepartmentCompany ProfileMorgan 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. The Firm emphasizes integrity, excellence and strong team ethic. The culture balances personal lifestyles and perspectives with professional needs.Department ProfileThe Finance Division reports to the Chief Financial Officer and consists of about 3,000 employees worldwide. Finance protects the Morgan Stanley franchise by maintaining books and records and contributing to firmwide risk management. The division liaises with regulators and external stakeholders. Global Corporate Controllers & Planning (GCCP) oversees accounting, financial and regulatory reporting. Within GCCP, the US Legal Entity Regulatory Control team (US LE Reg) ensures US regulated entities comply with regulatory requirements, notably net capital (15c3-1, 18a1) and customer protection (15c3-3). The team prepares and files FOCUS reports, estimates net capital, and calculates customer reserve requirements daily. The group supports broker-dealer and swap dealer entities and engages in process improvements and analytics. The Analyst/Associate will support production and be engaged in analytics and insights.ResponsibilitiesProvide cross-entity support for daily net capital and/or customer reserve calculationsResponsible for select components of monthly calculations and FOCUS reportingIdentify improvement opportunities in data, process, and technology; drive improvementsProduction and support tasks distributed across team membersPrepare and analyze daily and month-end reporting of net capital, including haircuts and regulatory capital deduction schedulesPrepare daily customer reserve calculations with analysis of material changesPrepare and analyze reports filed with the SEC, FINRA and other regulatorsManage the monthly Data Attestation process for information providersAssist with testing of new processes, technology and reporting improvementsAddress questions from Business Unit Controllers, other functional areas, and regulatorsQualificationsStrong data analysis skills with large, complex data sets; Excel essential; Alteryx and coding skills beneficialTeam player with relationship-building skills across US LE Reg, Operations, Business Unit Controllers and other groupsAbility to learn quickly from subject matter experts and research sourcesClear and effective written and verbal communicationAbility to produce high-quality work to stringent deadlines0-3+ years of public/private experience with financial and/or regulatory reportingBachelor's Degree in Accounting, Finance or related fieldKnowledge of net capital, customer reserve rules, FOCUS reporting, GAAP or product knowledge is not required but beneficialWhat You Can Expect From Morgan StanleyWe are committed to maintaining a first-class service and high standard of excellence. Our values guide decisions to benefit clients, communities and our 80,000+ employees in 1,200 offices across 42 countries. We offer attractive and comprehensive employee benefits and opportunities for growth. For more about offices, visit the Morgan Stanley global offices page.Salary range for the position: $90,000 - $110,000 per year. Eligible for annual discretionary incentive compensation and participation in relevant incentive plans. Benefits include medical, dental, vision, 401(k), Paid Time Off, holidays, disability and other benefits. Details at .Equality & DiversityMorgan Stanley is an equal opportunity employer, committed to diversifying its workforce and ensuring equal employment opportunities regardless of race, color, religion, creed, age, sex, gender identity or expression, national origin, citizenship, disability, marital status, veteran status, genetic information, or any other protected characteristic.Seniority levelEntry levelEmployment typeFull-timeJob functionAccounting/Auditing and Finance #J-18808-Ljbffr

Created: 2025-09-17