Company Profile
Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
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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 inter nal 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 issu es.
Primary Responsibilities
Shared responsibility for day-to-day operations of GCM's role-based entitlement framework globally.
Lead escalation point for approvals, provisioning and reviews of various internal and vendor applications used by GCM personnel.
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.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you'll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.
Coverage for Audit Jobs
• Monday to Friday from 12:00PM to 9:00PM India time with flexibility on standard working hours for time sensitive matters.
• Periodic evening calls with US and EMEA Internal Auditors and auditees.