Department Profile

The Business Unit Control (BCU) team for the Global Capital Markets Division (GCM) fulfils a front office advisory role to the business and comprises part of the first line of defense. Team provides review, oversight and implementation of evolving regulatory and firm requirements for supervision, surveillance, entitlements and information security by understanding the business and products and then performing in-depth assessments and implementing consistent policy framework globally for GCM. The team seeks to ensure front-office business compliance with all applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies. The scope includes control ownership, oversight, escalation, project execution, and is the default owner for many division-wide audit and regulatory issues.

Primary Responsibilities
• Shared responsibility for day-to-day operations of GCM's role-based entitlement framework globally.

o Lead escalation point for approvals, provisioning and reviews of various internal and vendor applications used by GCM personnel.

o Leadership role in GCM global entitlements team (who approve, provision, revoke, and periodically review entitlements), including driving efficiency and productivity initiatives for the team.
• Key contributor to GCM's evolving global entitlement strategy, including in connection with strategic initiatives, managing key entitlements initiatives, projects and enhancements.
• Leadership in Firmwide entitlement working groups on behalf of GCM to design, develop and agree practical solutions to address GCM's unique requirements.
• Monitor and assess ongoing effectiveness of existing entitlements processes for gaps, areas of improvement or new requirements based on additional applications or vendors regulatory requirements etc. and assist in design, development and implementation of new processes where required, and drive increased automation and standardization.
• Dynamically trouble shoot, problem-solve and risk mitigate entitlements issues.
• Primary responsibility for managing entitlement information responses from client, audit or regulatory request
• Establish and maintain healthy relationships and collaboration with multiple constituencies, including GCM personnel, GCM BCU, Technology, Operations, Finance, and Compliance.

Skills Required
• Graduate from a reputed institute. Management/MBA graduate preferred.
• 8-12 years with a background in Risk Management, Information Security, Entitlements and / or Trading Support, focusing on capital markets or institutional sales and trading activities.
• Effective leadership skills.
• Strong motivation, be a self-starter with a positive outlook and desire to solve problems - creative thinking and problem-solving skills.
• Strong analytical skills with an ability to understand complex workflows.
• Strong communication skills with an ability to speak to Senior Management.
• Ability to identify and escalate issues effectively and appropriately.
• Exceptional organizational skills and a high degree of attention to detail.
• Solid understanding of applicable regulatory rules and regulations.
• Strong project management skills and proven ability to move projects through to completion.
• Ability to discuss in-depth technology initiatives and ability to work closely with technology teams.
• Excellent oral and written communication skills by clearly articulating objectives, requirements, risks and issues.
• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues.
• Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment.
• Proven ability to take ideas forward and to challenge others with integrity and maturity.
• Proficiency in MS Office and related applications (Excel/Advanced Excel, PowerPoint, Word, Project).
• Proficiency with data analysis of medium / large data sets.
• Proficiency in Python or other scripting language. Desired skill: Proficiency in SQL.

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.