Morgan Stanley Looking For Senior Associate – IED Non Market Risk at Mumbai Full Time

Background onthe Team

TheNon Market Risk(NMR) is the Business unit risk management team for theSales & Trading divisionof Morgan Stanley. This team is the first line of defence for Institutional Equities Division (IED) within Sales & Trading division of the firm. Team helps manage regulatory, conduct, operational and franchise risk for the division. Key functions which the team performs are mentioned below:

_Trade Surveillance_– Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm’s policies. These activities are considered unusual, abusive, manipulative, fraudulent or otherwise unlawful and pose the above mentioned risks to the firm.

_Internal policy compliance_– Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, marketing & communications, unauthorized trading etc.

_Entitlements managements__& Data Leakage_– Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions, there is information barriers between desks etc.

Primary Responsibilities

• Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary
• Trend and identify repeat behaviours and establish a process to address recurrence
• Reviewing electronic communications and escalating where these are not in line with internal policies
• Create management reports to highlight issues, trends, new regulatory changes etc.
• Support BU projects to create, enhance or develop procedures/protocols.
• Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes

Engaging with Sales and Trading contacts and other stakeholders to build awareness of Non Market Risk and RCG’s continued focus on proactive and effective surveillance and supervision

• Chartered Accountant or MBA
• 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)

Job: *Risk Management

Title: Senior Associate – IED Non Market Risk

Location: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)

Requisition ID: 3233109