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Position Description
Join Morgan Stanley’s Institutional Regional Processing Center in Baltimore, Maryland. We have an exciting opportunity for a Registration Analyst in our Compliance Department.
The Registration Department within the Compliance Department performs all registration-related activities on behalf of Morgan Stanley & Co. Incorporated and its securities professionals. The Group is responsible for the following activities:
• filing, maintaining, and updating qualification, employment, and disclosure records for all prospective and current employees;
• filing, maintaining, and updating all records for any openings/closing/changes to any MS&Co. branch;
• filing, maintaining, and updating Form ADV and Form BD on behalf of the Firm;
• maintaining records for all licensed employees who are not brokers or otherwise in sales and trading functions;
• maintaining corporate filings on behalf of MS&Co.’s institutional broker-dealers;
• monitoring that registered employees have fulfilled their regulatory continuing education and ethics training requirements;
• reviewing daily, weekly, monthly, and annual registration-related reports;
• maintaining and updating fingerprint records for all permanent and temporary employees associated with the Firm;
• reviewing and updating the NASD Member Firm Contact Questionnaire;
• act as a liaison between the individuals, states, Firm and regulatory bodies.
There are critical deadlines set for each of the above activities, and it is crucial for the Firm to meet the strict dates set for each to prevent any liability to the Firm. It is important to note that Friday evenings are a critical time within the Department for processing transfers, and it is mandatory for the Analysts and Managers to provide coverage (on a rotational basis) on Friday evenings, particularly during holiday weekends
Registration Analysts are responsible for all of the above functions for a designated region or area. Some may be given specialized roles that differ slightly from the above (example pre-hire registration).
Skills Required
The ideal candidate will have :
• Strong Interpersonal skills
• Excellent Oral communication skills
• Teamwork skills
• Organizational skills
• Computer literacy
• Planning skills
• Superior time management.
• Bachelor's Degree preferred.
Skills Desired
Experience with the following systems is preferred:
- Web CRD – system on which NASD maintains the qualification, employment and disclosure histories of registered securities employees of member firms
- NASD EFT – National Association of Securities Dealers Electronic File Transfer application
- NYSE EFP – New York Stock Exchange Electronic Filing Platform
- NRS, RMUB and RRUB – Morgan Stanley mainframe system
- Peoplesoft – Human Resources software
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