Central Risk Team (Supervision), Senior Associate/Manager, Institutional Securities Group

Morgan Stanley; Mumbai; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

Morgan Stanley's Central Risk team within ISG provides oversight of regulatory and firm requirements across supervision, surveillance, and information security. The team ensures front-office compliance with rules and internal controls globally.

The role includes reviewing policy breaches, analyzing trends, and creating management reports; collaborating with regional RCG teams to enhance automation and standardization; and engaging with stakeholders to meet evolving regulatory expectations.

Qualifications

• Management Graduate/Master’s in Commerce/Finance background.
• 3–6 years in Compliance, Risk Management, Trade surveillance or Trading Support.
• Ability to work independently.
• Positive mindset and eagerness to learn.
• Strong organizational skills and attention to detail.
• Knowledge of Equities markets and regulatory rules.
• Excellent written and verbal communication.
• Proficiency in MS Office (Word, Excel, PowerPoint).

Responsibilities

• Reviewing internal policy breaches daily, investigate, educate and escalate.
• Trend and identify repeat behaviors and establish a process to address recurrence.
• Review electronic communications and escalate where not in line with policies.
• Create management reports to highlight issues, trends and regulatory changes.
• Support BU projects to create, enhance or develop procedures.
• Engaging with regional RCG teams to focus on automation and standardization.
• Engaging with ISG contacts and stakeholders to build awareness of Non-Financial Risk.
• Drive discussion with Risk and Compliance contacts to validate review processes.
• Help ensure ISG activities comply with legal, regulatory and firm requirements.
• Partner on projects to improve review processes and reduce false positives.

Skills

Compliance

Risk Management

Trade surveillance

Trading Support

Sales & Trading

Equities knowledge

Communication skills

MS Office

Education

Master’s in Commerce

Finance background

Tools

MS Office

Job description

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 defense.

The scope of this role includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.

ISGM Central Risk Team - ISG Central Risk Supervision team reviews internal policies that employees within ISG need to adhere to e.g. Employee Trading Policy, Mandatory Vacation Policy, E-Communication Surveillance policy. The team is bifurcated by region to manage stakeholder engagement and ensuring standardization of reviews across Business groups.

What you’ll do in the role:

• Reviewing internal policy breaches daily, investigate, educate and escal…
• 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
• 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, reducing false positives or further enhance the report logic

What you’ll bring to the role:

• Management Graduate/ Master’s in Commerce/From Finance Background
• 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
• Positive mindset and inquisitive to learn and perform
• 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:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 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 opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.