Morgan Stanley
Regulatory Reporting Operations- Associate
$65K–$103K
New York, New York · On-site · Full-time · Posted Jul 13, 2026
- Experience
- At least 4 years' relevant experience would generally be expected.
About the job
Runs daily regulatory reporting operations for FINRA CAT, investigating exceptions, governing data quality, and improving controls and processes.
What you'll do
- Coordinate complex operational processes, risks, projects, task allocation, training, and escalations.
- Investigate reporting and reconciliation exceptions with Operations, business, Legal, Compliance, and Technology; identify root causes and oversee resolution.
- Monitor CAT data quality and linkage exceptions, support regulatory accuracy and compliance, and represent firm requirements in industry forums.
What they ask for
- Comprehensive knowledge of the functional area and operational/compliance policies and procedures.
- Expertise in the trade lifecycle and downstream requirements for trade and financial data.
- Strong knowledge of multi-jurisdiction regulatory reporting, exception investigation, material economic terms investigation, governance, and metrics.
- Excellent written and verbal communication skills; confidence leading meetings.
Nice to have
- Transaction reporting experience, preferably in FINRA Consolidated Audit Trail (CAT) or CFTC.
- Understanding of Alteryx, Power apps, or Ui Path automation platforms.
Pay
$65,000 and $103,000 per year (base salary)
Tools
CAT, CFTC, FINRA Consolidated Audit Trail (CAT), Alteryx, Power apps, Ui Path
Model-written summary · the original posting is authoritative