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Senior Manager - IED Non Market Risk

9.00 to 12.00 Years   Mumbai City   17 Apr, 2023
Morgan Stanley Advantage Services Pvt Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

    * Background on the Team The Non Market Risk (NMR) is the Business unit risk management team for the Sales & Trading division of Morgan Stanley. This team is the first line of defence for Institutional Equities Division (IED) within Sales & Trading division of the firm. Team helps manage regulatory, conduct, operational and franchise risk for the division. Key functions which the team performs are mentioned below: Trade Surveillance Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm s policies. These activities are considered unusual, abusive, manipulative, fraudulent or otherwise unlawful and pose the above mentioned risks to the firm. Internal policy compliance Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, marketing & communications, unauthorized trading etc. Entitlements managements & Data Leakage 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
    • Managing functions within the Regulatory Control Group Mumbai team and effectively integrate new processes and enhance existing ones;
    • Interacting with global non market risk teams with regard to supervisory issues and exceptions;
    • Interacting with global members from associated control functions, such as Legal, Compliance and Technology Risk;
    • Solving problems by effectively collaborating within and across teams outside of the Risk Management function;
    • Supervising the offshore review of sales and trading exception reports on a daily basis and maintaining records relating to these reviews
    • Supervising offshore activities around risk controls;
    • Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;
    • Leading projects related to the supervisory platform and the information security program;
    • Establishing relationships and work closely with IED Risk Management, Technology, Operations, Finance, and Compliance.
    , * Skills required (essential)
    • Chartered Accountant or Master s in Business Management or similar professional with 9-12 years background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues
    • Effective management and leadership skills
    • Strong motivation, be a self-starter with a positive outlook and desire to solve problems
    • Strong analytical skills with an ability to understand complex workflows
    • Strong communication skills with an ability to speak to senior management
    • Ability to identify and escalate issues effectively and appropriately
    • Good organizational skills and a high degree of attention to detail
    • Strong project management skills
    • Strong oral and written communication skills with ability to clearly articulate objectives, requirements, risks and issues
    • Proven ability to take ideas forward and to challenge others with integrity and maturity
    • Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)
    • Enthusiasm to volunteer or lead planning and organizing in events held by the department and firm

Keyskills :
financesalesmisaccountancyms officemarket riskrisk managementtechnology riskanalytical skillsproject management

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