Morgan Stanley

Trade Supervision, Associate, ISG Management

Posted On

April 7, 2025

Location

Mumbai, Maharashtra

Experience Level

Freshers/Experienced

Job Type

Permanent

Apply By

June 18, 2025

Job Description

Associate – Institutional Securities Group Central Risk Team

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

The Central Risk team within Institutional Securities Group (ISG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, and information security by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking and Research. The team 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.

The ISG Central Risk team fulfils a front office advisory role as the first line of defence. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.

Responsibilities Include:

Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary
Trend and identify repeat behaviours and establish a process to address recurrence
Reviewing electronic communications and escalating where these are not in line with internal policies
Create management reports to highlight issues, trends, new regulatory changes etc.
Support BU projects to create, enhance or develop procedures/protocols.
Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes
Engaging with ISG contacts and other stakeholders to build awareness of Non- Financial Risk and RCG’s continued focus on proactive and effective surveillance and supervision
Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
Help ensure that ISG activities comply with relevant legal, regulatory and Firm requirements
Partner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment
Partner in projects related to improving the review process, reduce false positives or further enhance the report logic

Skills required

Graduate/ Post Graduate in Commerce, Finance etc.
1-3 years with knowledge/ background in Compliance, Risk Management, Trade surveillance or Trading Support focusing on sales and trading issues
Ability to work independently
Exceptional organizational skills and high degree of attention to detail
Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
Excellent oral and written communication skills
An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
Proficiency in MS Office and related applications (Word, Excel, PowerPoint)

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 89 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

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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