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Morgan Stanley & Co. LLC seeks an Associate, Risk Management in New York, New York

Interact with Institutional Equity Division (IED) supervisors, traders, and sales people with regard to supervisory issues, including exceptions, violations, and obtaining sign-offs. Monitor existing control frameworks and improve, or create new control frameworks if none exist. Review sales and trading exception reports on a daily basis and maintain records of reviews. Liaise with Compliance Surveillance teams to review escalations and assist in the disposition of market abuse surveillance alerts. Identify, design, test, and implement new control and exception reports to ensure the Firm keeps pace with the evolving Regulatory environment. Lead and participate in projects related to the overall IED risk management framework, as well as the information security programs. Help ensure IED sales and trading activities satisfy applicable legal, regulatory and Firm requirements and entitlements. Review and interpret Firm and IED-specific policies and procedures for application to the business. Establish and maintain relationships, and work closely with IED supervisors, IED Risk Management, Technology, Operations, and Compliance. Provide application approvals and perform entitlement reviews of various applications owned and accessed by IED sales and trading personnel.

Salary: Expected base pay rates for the role will be between $125,000 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.

Requirements:

Requires a Bachelor's degree in Management, Economics, or a related field of study and one (1) year of experience in the position offered one (1) year as an Associate, or a closely related occupation. Requires one (1) year of experience with: equity products and services, and documenting trading activity in trade surveillance and trade monitoring platforms to help ensure compliance with regulatory requirements guidelines; platform used to manage, review, and escalate activities to satisfy supervisory responsibilities; maintaining employee roster and supervision hierarchy, and periodic supervisor attestations; maintaining written supervisory procedures, including updates as needed for changes in processes and systems and/or changes to the regulatory framework; reviewing and reporting on equities-specific and cross-divisional supervisory metrics, including as reported through dashboards; maintaining and supporting supervisors in reviewing and maintaining appropriate system and data entitlements through management and provisioning tool used to centrally manage entitlements, roles, activities and coverage; reviewing personal trading and outside business activity disclosures within tool used for tracking timely disclosures of outside accounts and activities and employee trade preclearance requests; reviewing and liaising with supervisors to ensure personnel are appropriately licensed for activities, including via global licensing and registrations maintenance tool; operational dashboards used to store trade cycle information; trade capture tools that document trade hop and order ticket information with the ability to see equity cash and listed order fills; report generation and data analysis in datalake and database front-end tools, including SAP Business Objects and Tableau. Requires any amount for: voice recording roster and liaising with technology team responsible for the application used to view and maintain the status of recorded persons, and assigning compliance created purposes to cost centers; monitoring electronic communications within communications review tool and escalate or review and disposition; reviewing swap trading activities in swap trade capture and swap shell maintenance platform that supports the lifecycle of a swap, including proposed amends and approvals to ensure swap consistency; systems and processes associated with trade reporting and surveillance, including NASDAQ SMARTS and NASDAQ ACT; systems for maintaining client and counterparty documentation and record keeping.

Qualified Applicants:

To apply, visit us at https://ms.taleo.net/careersection/2/jobsearch.ftl?lang=en Scroll down and enter 3253145 as the “Job Number” and click “Search jobs.”  No calls please.  EOE