India Job Openings

Morgan Stanley

Manager Trade Surveillance (ISG Management)

Mumbai

FULL TIME

August 31, 2024

Manager Trade Surveillance (ISG Management)

Job Number:
3258083

POSTING DATE: Aug 31, 2024

PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai

JOB: Risk Management

EMPLOYMENT TYPE: Full Time

JOB LEVEL: Manager

DESCRIPTION

Division: ISGM (CRT- Surveillance)

Job Title: Manager

Location: Mumbai

Job Level: Manager

Shift Time: 11.30 am onwards

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

QUALIFICATIONS

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, Power Point, 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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