Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Department Profile
The Central Risk team within Institutional Securities Group (ISG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, and information security by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking and Research. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls, and policies.
The ISG Central Risk team fulfils a front office advisory role as the first line of defence. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.
Responsibilities Include
- Reviewing Institutional Equity trade surveillance (Non-Market Abuse) exception reports on daily basis, identify issues and escalate for appropriate corrective action
- Creating trend analysis of the issues identified and suggest remedial actions for recurring patterns
- Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
- Help ensure that Institutional Equity Division's activities comply with relevant legal, regulatory and Firm requirements
- Partner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment
- Partner in projects related to improving the review process, reduce false positives or further enhance the report logic
Skills Required
- Management Graduate/ Masters in Commerce/Chartered Accountant
- 3-5 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues
- Ability to work independently
- Exceptional organizational skills and high degree of attention to detail
- Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
- Excellent oral and written communication skills
- An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
- Proficiency in MS Office and related applications (Word, Excel, PowerPoint)
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
Posting Date
Jun 5, 2024
Primary Location
Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
Job
Risk Management
Employment Type
Full Time
Job Level
Senior Associate
