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Manager - Business Unit Risk Management

5.00 to 7.00 Years   Mumbai City   17 Feb, 2023
Morgan Stanley Advantage Services Pvt Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaRisk / Underwriting
EmploymentTypeFull-time

Job Description

    Entitlements managements Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions, there is information barriers between desks etc. Primary Responsibilities Trade Surveillance
    • Reviewing Sales & Trading exception reports on daily basis, identify issues and escalate to business teams for appropriate corrective action
    • Creating trend analysis of the issues identified during trade surveillance and suggesting remedial actions for recurring trader or client behaviour
    • Interact with Sales & Trading supervisors and, when necessary, traders and salespeople with regard to supervisory issues, exceptions and necessary sign-offs
    • Help ensure that Sales & Trading activities satisfy pertinent legal, regulatory and Firm requirements
    • Review and make suggestions regarding RCG policies and procedures
    • Identify, design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment
    Internal policy compliance
    • Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary
    • Trend and identify repeat behaviours 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.
    Entitlements management
    • Provisioning employees to Morgan Stanley accounts and Sales & Trading applications
    • Periodically reviewing the appropriateness and relevance of the entitlements to various applications
    Risk Projects
    • Lead Risk projects, in particular, ones related to the supervisory platform and the information security program
    • Developing business requirements documents and procedures for strategic initiatives
    , *
    • Chartered Accountant or MBA or similar professional.
    • 5-7 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).

Keyskills :
risk managementinformation securitybusiness requirementsregulatory guidelines

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