Senior Associate – Fixed Income Business Control Unit (Supervision)

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 Fixed Income Division (FID) is comprised of Interest Rate and Currency Products, Credit Products, Commodities and Distribution. Professionals in the Division assess and actively manages risk, trade securities, and structure as well as execute innovative transactions in the fast-paced and constantly changing global markets. The Fixed Income Division is a market leader across a broad range of commodities markets, with expertise in areas including client risk management, financing solutions and investor products Sales & Trading. From the largest global institutions to innovative new hedge funds, investors come to Morgan Stanley for sales, trading, and market-making services in almost every type of financial instruments including stocks, bonds, derivatives, foreign exchange, and commodities. Our professionals provide liquidity and content to clients around the world, actively assessing and managing risk, trading securities, and planning and executing transactions in the fast-changing markets. As the needs of our clients become increasingly complex, we often develop customized solutions.

Responsibilities Include:

·         Reviewing internal policy breaches on a daily basis, investigate, educate and escalate

·         Trend and identify repeat behaviors 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

·         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

·         Management Graduate/ Master’s in Commerce/Chartered Accountant

·         3-6 years with a background in Compliance, Risk Management, Trade surveillance and / 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)

“Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise 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.”