Morgan Stanley
Dir, P3, Risk, Assurance, Governance & Control : Job Level - Director
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Regulatory Reporting Quality Assurance (RRQA) JR040120 Glasgow
We are hiring a Director to join the Regulatory Reporting Quality Assurance (RRQA) team within the Finance Risk and Assurance (FinRiA) group.
FinRiA is a global team based in New York, Glasgow, London, Tokyo, and Hong Kong, providing oversight, governance, and execution in support of the Firm's operational risk programs and objectives. We partner across Finance, the Firm Operational Risk Department, the Front Office, Internal Audit, and Operations—strengthening risk reporting, enhancing the control environment, and advancing the Firm's risk management culture and infrastructure.
RRQA works collaboratively across New York, Glasgow, and Mumbai to deliver a validation program that supports a continuously expanding regulatory reporting environment impacting the Morgan Stanley Finance Division.
What will you be doing?
RRQA is an independent, second line of defense (2LOD) function within Finance. We validate the end-to-end processes and controls that support Finance-owned reports and components across Capital, Credit, Market, Operational, Liquidity, and other reporting submitted to global regulators—from transaction capture through to final reporting. The scope spans a broad product set, including derivatives, debt-based instruments, equity-based instruments, loans, and structured products.
In this role, you will lead a workstream within the US or EMEA validation book of work. You will shape the validation approach, build strong partnerships with key stakeholders, and lead a small team to deliver high-quality validation outcomes.
RRQA offers excellent exposure to the broader Firm. The validation program spans diverse reporting areas (e.g., capital, liquidity, recovery planning) and enables close partnership with stakeholders across Finance, Operations, and Technology.
As project-based work (rather than recurring daily/weekly/monthly production), the role provides variety in the work performed, continuous learning, and flexibility.
Key responsibilities:
- Lead and own validation testing, including process, control, and substantive testing from data source through to final regulatory reporting
- Manage and develop a small team (typically one to two direct reports), supporting performance, coaching, and day-to-day prioritization
- Partner with stakeholders across Finance (e.g., Regulatory Controllers, FSS External Reporting, Treasury, Legal Entity Controllers) to shape RRQA's annual scope, execute validations, and agree the remediation of any issues identified
- Liaise with Operations and Technology to obtain data, understand workflows, and enable efficient end-to-end validations
- Apply structured problem solving to identify root cause drivers of data anomalies and control gaps, and define next steps for the team and stakeholders
- Provide clear, timely updates to senior management on workstream progress, themes emerging, and key risks
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Skills required:
- Strong ownership mindset and accountability for delivering high-quality outcomes
- Critical thinking, initiative, and curiosity to challenge whether processes and controls are operating as intended
- Strong analytical capability to organize, interrogate, and present data clearly; excellent attention to detail; and disciplined documentation of results
- Strong written and verbal communication skills, with the confidence to lead stakeholder walkthroughs and present succinct updates to senior Finance management
- Commitment to continuous learning—asking thoughtful questions and identifying innovative ways to improve RRQA processes
- Adaptable, able to balance priorities, and motivated to contribute to a high-performing team and positive culture
- Proficiency with Microsoft Excel
Skills desired:
- Bachelor's Degree in Finance, Business, Mathematics, Accounting, or similar discipline
- Prior audit or assurance experience
- Experience with data analysis and visualization tools (e.g., Alteryx, PowerBI, Tableau)
- Part-qualified or fully qualified accountant
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage, and allocate capital for our clients—helping them reach their goals. We do it in a way that’s differentiated—and we’ve done that for 90 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.
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To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Certified Persons Regulatory Requirements:
If this role is deemed a Certified role and may require the role holder to hold mandatory regulatory qualifications or the minimum qualifications to meet internal company benchmarks.
Flexible work statement
Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents. Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences. For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.
At Morgan Stanley, we advise, originate, trade, manage, and distribute capital for people, governments, and institutions, always with a standard of excellence and guided by our core values. Morgan Stanley is dedicated to providing first-class service to our clients, in a way that reflects our commitment to creating a more sustainable future and fostering stronger communities around the world. In each line of business, we strive to demonstrate our belief in the power of transformative thinking, innovative strategies, and leading-edge solutions—and in the ability of capital to work for the benefit of all society.
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