Director of Possession or Control, Settlements

> Lead a team responsible for generating and analyzing daily deficit reports, coordinating stakeholder commentary, and escalating issues as needed. > Conduct root cause analysis and drive resolution of operational and regulatory exceptions. > Serve as a key escalation point for complex issues, ensuring alignment with regulatory expectations and internal controls. > Collaborate cross-functionally to enhance operational workflows and regulatory reporting standards. ______ > Advanced understanding of the Customer Protection Rule (15c3-3) and its application in brokerage operations. > Strong knowledge of clearance and settlement processes, including operational risk controls. > Solid accounting foundation (credits and debits) with the ability to interpret financial data. > Demonstrated analytical skills with experience in root cause analysis and issue remediation. > Proficiency in Microsoft Excel, Word, and PowerPoint. > Excellent organizational and prioritization skills, with the ability to manage competing deadlines. > Clear and concise communication skills, both written and verbal. > Proven ability to identify and escalate high-risk issues to senior management. > Bachelor's degree required; advanced degree or certifications preferred. > Minimum of 2 years of direct line management experience, with a track record of developing high-performing teams. > Active or prior registration with FINRA Series 99 and SIE (or equivalent regulatory credentials). > Deep understanding of financial industry products and regulatory frameworks. > Experience in leading operational risk initiatives and driving compliance improvements. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. Our Firm is differentiated by the caliber of our diverse team, while our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity 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. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. United States (All States) It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. 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. 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. To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser. . Salary range for the position: $64,000.00 - $108,000.00/Yr. The successful candidate may be eligible for an annual discretionary incentive compensation award. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. Please visit mybenefits.morganstanley.com to learn more about our benefit offerings. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.