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

Morgan-Stanley; Mumbai; On-site; INR 1,200,000 - 2,400,000; Full time

Job summary

Morgan Stanley is seeking a Central Risk professional to oversee regulatory and firm policy compliance across ISG. You will analyze policy breaches, escalate where necessary and collaborate with regional teams to standardize reviews and reduce false positives.

The role demands strong communication and attention to detail, with a focus on proactive risk management. The team operates globally within Institutional Securities and supports audits, controls, and regulatory changes, offering

Qualifications

• 3–6 years with a background in Compliance or Risk Management.
• Experience in trade surveillance or trading support is preferred.
• Strong knowledge of equities and regulatory rules is required.

Responsibilities

• Review internal policy breaches daily and escalate as needed.
• Create management reports highlighting issues, trends and changes.
• Engage with regional teams to automate surveillance processes and improve controls.
• Support projects to develop procedures and enhance report logic.
• Validate review processes and escalation/disposition criteria with Risk & Compliance.

Skills

Compliance

Risk management

Trade surveillance

MS Office

Education

Master’s in Commerce

Tools

Trading surveillance tools

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 escalate as necessaryTrend and identify repeat behaviors and establish a process to address recurrenceReviewing electronic communications and escalating where these are not in line with internal policiesCreate 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 processesEngaging with ISG contacts and other stakeholders to build awareness of Non- Financial Risk and RCG’s continued focus on proactive and effective surveillance and supervisionDrive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logicHelp ensure that ISG activities comply with relevant legal, regulatory and Firm requirementsPartner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environmentPartner in projects related to improving the review process, reducing false positives or further enhance the report logicWhat you'll bring to the role:Management Graduate/ Master’s in Commerce/From Finance Background3-6 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issuesAbility to work independentlyPositive mindset and inquisitive to learn and performExceptional organizational skills and high degree of attention to detailKnowledge of Equities markets, understanding of applicable regulatory rules and regulationsExcellent oral and written communication skillsAn understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issuesProficiency 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.To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.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 .