The position available is a Professional level position within the Institutional Equity Risk Management team, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory program and information security platform for the Institutional Equity Division (IED). The individual will be required to work with senior members of the business and associated control functions, including Legal, Compliance and Technology Risk. The individual will be responsible for reviewing IED sales and trading desk activities to help ensure compliance with applicable rules and regulations governing the Firm's activities, as well as adherence to internal policies, procedures, standards and controls.
Responsibilities include: â?¢ Interacting with IED supervisors and, when necessary, traders and sales people, with regard to supervisory issues, including exceptions, violations, and obtaining sign-offs; â?¢ Monitoring existing control frameworks and / or improving these or creating new control frameworks if none exist; â?¢ Reviewing sales and trading exception reports on a daily basis and maintaining records of these reviews, e.g., best execution, frontrunning, options ticket timeliness; â?¢ Liaising with Compliance Surveillance teams to review escalations and assist in the disposition of market abuse surveillance alerts; â?¢ Identifying, designing, testing, and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment; â?¢ Leading and participating in projects related to the overall IED risk management framework, as well as the information security programs; â?¢ Helping to ensure that IED sales and trading activities satisfy applicable legal, regulatory and Firm requirements; â?¢ Reviewing and interpreting Firm and IED-specific policies and procedures for application to the business; â?¢ Establishing and maintaining relationships and working closely with IED supervisors, IED Risk Management, Technology, Operations and Compliance; â?¢ Providing application approvals and performing entitlement reviews of various applications owned and accessed by IED sales and trading personnel.
Experience / Skills Required: â?¢ 2-5 years' experience in the Financial Services industry with a background in Compliance, Risk Management and / or Trading Support, focused on sales and trading issues; â?¢ Curiosity and a desire to learn new concepts, processes, products and regulations; â?¢ Strong motivation-be a self-starter with a positive outlook and desire to solve problems; â?¢ Strong analytical skills with an ability to understand complex processes and workflows; â?¢ Sound judgment and an ability to identify and escalate issues effectively and appropriately; â?¢ Exceptional organizational skills and a high degree of attention to detail; â?¢ Solid understanding of applicable rules and regulations; â?¢ Strong project management skills; â?¢ Excellent oral and written communication skills to clearly articulate objectives, requirements, risks and issues; â?¢ An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues; â?¢ Ability to thrive in a fast-paced environment, handling multiple tasks simultaneously in a timely and effective manner; â?¢ Proven ability to take ideas forward and to challenge others with integrity and maturity; â?¢ Proficiency in data analytics and visualization tools such as Tableau is a plus;
Expected base pay rates for the role will be between $120,000 and $180,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law. Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
