Division Profile

Morgan Stanley's Banking Group provides industry, regional and product expertise to corporations, institutions, and government clients in order to develop and execute innovative and customized solutions to the most challenging strategic and financing issues faced in the global marketplace. The Banking Group is comprised of a number of industry groups which work closely with product team members in Mergers & Acquisitions, Global Capital Markets, Real Estate, and other industry groups throughout the Firm to provide relevant market insight, product creativity, and execution expertise to clients. These solutions include initial public offerings; public and private equity and equity-linked financings; mergers, acquisitions, and restructurings; defense advisory assignments; strategic partnerships; public and private debt placements; share repurchases; and hedging, swaps and derivative transactions.

Team Profile

The IBD Business Control Unit within IBD Management supports IBD in executing a variety of strategic, financial, operational and regulatory initiatives, including the identification, evaluation and mitigation of risks arising from IBD business activities. This position provides an opportunity to oversee the execution and enhancement of the risk management framework for the IBD business. The 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 IBD. The team also 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.

Title:

Analyst/Associate - IBD Business Control Unit

Key Responsibilities:

Business Unit Control within the Investment Banking Division is looking for an Analyst/Associate in the Mumbai office who will be responsible for the following:
• Ensuring a standardized and consistent approach for the Division to adhere to risk management policies and procedures
• Assisting in the maintenance of Supervisory Dashboard and other conduct reporting platforms.
• Conducting E-Communication (Synthesys) and Data Leakage Prevention (Vontu) reviews and escalations
• Creating ad hoc, daily, weekly, monthly and/or quarterly risk management metrics reports.
• Managing operational risk incidents, general operational queries/issues, and specific programs

(e.g.,Risk & Control Self-Assessment ("RCSA"))
• Supporting regulatory enquiries / inspections / applications, internal audits and compliance testing that impact the division.
• Assisting in developing and designing new controls & processes within first line.
• Performing various entitlement reviews for firm and third-party systems, folders, mailgroups etc.,

including High risk transfer review, Business entitlement review, Segregation of Duties review etc.

Skills Required
• 3-5+ years of experience with good working knowledge of Investment Banking Advisory and Capital Markets

products preferred
• Strong communication skills; ability to communicate concisely
• Collaborative attitude necessary to establish and maintain positive working relationships with all management and

personnel.
• Strong business and analytical skills and ability to develop commercial solutions which demonstrate sound judgment

relative to the risks;
• Goal oriented, follows through on tasks, remediation and implementation.
• Flexibility to handle real time prioritization/re-prioritization and availability;
• Comfortable with leadership;
• Curious and creative, interested in new challenges;
• Willing and eager to learn and work with different teams and divisions of the Firm; Ability to interact with stakeholders of

varying seniority in different groups
• Strong organizational skills needed to handle the coordination of multiple priorities.
• Capacity to work and make informed decisions independently as well as partner with other areas of the firm.
• Solid working knowledge of Microsoft Office
• Investment Banking and Capital markets experience preferred.

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.