Division Profile
Global Capital Markets (GCM) responds with market judgment and ingenuity to meet clients' needs for capital. Whether executing an IPO, a debt offering or a leveraged buyout, GCM integrates Morgan Stanley's expertise in Investment Banking and in Sales & Trading, offering clients seamless advice and sophisticated solutions. We originate, structure and execute public and private placements of equity and equity-linked securities, investment-grade and non-investment-grade debt and related products.
Background on the Team
The Business unit risk management team for the Global Capital Markets Division (GCM) fulfils a front office advisory role as the first line of defence. Team provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements and information security by performing in-depth assessments and implementing consistent policy framework globally for GCM. 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 scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.
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Primary Responsibilities
• Maintain GCM Roster which is a central inventory to house employee related details
• Maintain supervisory dashboard which is a workflow and escalation tool used by the division
• Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, electronic communications, outside business interest, mandatory vacation etc.
• 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
• Review licensing requirements and build necessary controls around it
• Create management supervisory packs to highlight issues, trends, new regulatory changes etc.
• Build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
• Providing application entitlements to GCM employees post necessary risk based due diligence
• Periodically reviewing the appropriateness and relevance of the entitlements to various applications
• Monitoring of physical access to restricted GCM floors and conduct periodic reviews
• Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions
• Lead Risk projects, in particular, ones related to the supervisory platform and the information security program
• Developing business requirements documents and procedures for strategic initiatives
• Identifying and driving various efficiency and productivity initiatives for the team
Skills required (essential)
• Chartered Accountant or MBA
• 5 years with a background in financial markets and experience Compliance, Risk Management, operations or Trading Support functions
• Ability to work independently
• Exceptional organizational skills and high degree of attention to detail
• Knowledge of financial markets, understanding of applicable regulatory rules and regulations
• Excellent oral and written communication skills
• Strong organizational skills and an ability to manage multiple demands and changing priorities.
• 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.