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 Institutional Equity trade surveillance (Non-Market Abuse) exception reports on daily basis, identify issues and escalate for appropriatecorrective action Creating trend analysis of the issues identified and suggest remedial actions for recurring patterns Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic Help ensure that Institutional Equity Divisions 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
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