Morgan Stanley

Senior Manager Trade Surveillance (ISG Management)

Posted On

Oct. 1, 2024

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

Jan. 29, 2025

Job Description

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.

Department Profile

We are the Non-Financial (NFR) group within the Institutional Securities Group (ISG) management function. NFR is responsible for managing several non-financial risks across ISG, including but not limited to Compliance, Supervision, Conduct, Client and Product Risk. As an in-business risk management team, we partner with our ISG business stakeholders, as well as the technology groups and 2nd line control functions to understand business needs and their associated risks, execute on practical solutions, and maintain a global governance, monitoring, communication, and awareness strategy that underscores a culture of control excellence. Our team has a global presence with members located in New York, London, Mumbai, and Hong Kong.

Primary Responsibilities

· Monitoring trade surveillance (Non-Market Abuse) exception reports on daily basis, identify issues and escalate for appropriate corrective action

· Effectively integrate new processes and enhance existing ones.

· Work with NFR team to identify risks, define controls, implement key non-financial risk metrics and assessing the effectiveness of the control environment

· Ability to analyze a process and recommend ways to improve quality, controls, and efficiency

· Work with managers across all ISG business unit functions to resolve risk issues as appropriate

· Delivery and monitoring of key risk/management indicators, delivery of management reporting

· Provide expert support and advice to the business on risk identification and issue management

· Solving problems by effectively collaborating within and across teams outside of the Risk Management function.

· Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist.

Responsibilities

· Leading projects related to the supervisory platform and the information security program.

· Act as the primary interface with key ISG business partners and provide regular updates on the status of the risk and controls framework execution

· Facilitate cross functional teams, facilitate discussions on control design and/or issue remediation to ensure corresponding actions will effectively remediate and be evidenced

Skills desired

Chartered Accountant or Master’s in Business Management or similar professional with 08-14 years background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues

· Effective management and leadership skills

· Strong motivation, be a self-starter with a positive outlook and desire to solve problems

· 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

· Good organizational skills and a high degree of attention to detail

· Strong project management skills

· Strong oral and written communication skills with ability to clearly articulate objectives,

requirements, risks and issues

· Proven ability to take ideas forward and to challenge others with integrity and maturity

· Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)

· Enthusiasm to volunteer or lead planning and organizing in events held by the department and

firm

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.

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