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- Substantive testing around transaction capture throughout the life-cycle of the regulatory reporting processes performing data due diligence around the data flow and processing through multitude of trade booking systems, aggregation systems and their hand-offs from the trade capture to the regulatory systems.
- Rule conformance testing to ensure the regulatory reporting is complying with the respective regulatory frameworks (Basel regulations, CCAR instructions, CAAP guidance, Pillar 3 requirements etc)
- Substantive testing around the attributes/parameters consumed in arriving at the exposure and risk-weighted assets, for credit risk, market risk, liquidity risk and operational risk reported in the respective regulatory reports.
- Analysing identified issues in the upstream and downstream processes or systems for their impact on capital and regulatory reporting, as well as escalating the issues and finding an appropriate remediation, after consulting with the stakeholders.
- Cultivating relationships across the Finance organization with key constituency groups, such as Regulatory Controllers, Legal Entity Controllers, Product Controllers, Operations, Treasury, Technology, Credit Risk, and Market Risk.
- Working with review leads in drafting recommendations and liaising with the business units to remediate risks, findings and gaps identified during the validation process.
- Driving the projects/review tagged with the guidance from the senior members of the team; monitoring, tracking and reporting project progress to Senior Management
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Associate - Mumbai Central, India - Morgan Stanley
Description
Job Description
We are looking to hire an Associate in the Finance Risk and Assurance (FinRiA), specifically into the Regulatory Reporting Quality Assurance team (RRQA). The FinRiA group is represented in our New York, Glasgow, London, Tokyo and Hong Kong offices performing an oversight, governance and execution role in relation to the Finance SOT division in support of the Firm's operational risk programs and objectives. The group interacts across all areas of Finance, Firm Operational Risk Department, the Front Office, Internal Audit as well as Operations, providing accurate risk reporting across Finance whilst furthering the risk management culture and infrastructure.
The RRQA team works collaboratively across New York, Glasgow and Mumbai on a validation programme to support the continuously expanding regulatory reporting environment impacting the Morgan Stanley Finance Division.The Regulatory Reporting Quality Assurance Group (RRQA) is an independent second line of defense group responsible for validating processes upstream/downstream of Firm Risk Management (FRM) for Capital, Credit, Market, Operational and Liquidity Risk. RRQA is also responsible for validating processes supporting regulatory reporting submissions to various US and regional regulators as determined through its annual scoping and prioritization activities. RRQA's objectives include, but are not limited to, validating the regulatory reporting control environment which includes in-scope controls, data, governance and oversight, models/capital planning tools (tools), methodology and processes from transaction capture through sourcing and consolidation (i.e., completeness, accuracy and timeliness).
The RRQA Associate will be responsible for performing activities related to Regulatory reporting validation programs and quality assurance on a global basis. This review includes, but are not limited to, validating the regulatory reporting (Basel, CCAR, other regional regulatory reports) control environment which includes in-scope controls, data, governance and oversight, models/capital planning tools (tools), methodology and processes from transaction capture through sourcing and consolidation (i.e., completeness, accuracy and timeliness). Products subject to review may include derivatives, secured financing transactions, loans, securitizations, debt and equity.
Qualifications
Key responsibilities:
For further information, and to apply, please visit our website via the "Apply" button below.
