Department Profile
From global institutions to hedge funds, investors come to Morgan Stanley for sales, trading, and market-making services in almost every type of financial instrument in all the world's financial markets. Morgan Stanley professionals use our network and technology to provide liquidity and sophisticated analysis, to manage risk and execute reliably in the fast-changing markets.
Morgan Stanley's Institutional Equity Division (IED) is a world leader in the origination, distribution and trading of equity, equity-linked and equity-derivative securities. Our broad and deep client relationships, market-leading platform and intellectual insights enable us to be a world-class service provider to our clients for their financing, market access and portfolio management needs.
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Responsibilities Include:
- 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 Risk and control group (RCG) teams to focus on and deliver increased automation and standardization across applicable surveillance processes
- Engaging with IED contacts and other stakeholders to build awareness of Non- Financial Risk and RCG's continued focus on proactive and effective surveillance and supervision
- Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
- Help ensure that IED 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
- Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable processes
- Chartered Accountant or MBA
- 6-9 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.