Senior Associate IED - Business Control Unit - Risk Team 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 From global institutions to hedge funds, investors come to Morgan Stanley for sales, trading, and market-making services in almost every type of financial instrument in all the worlds financial markets. Morgan Stanley professionals use our network and technology to provide liquidity and sophisticated analysis, to manage risk and execute reliably in the fast-changing markets. Morgan Stanleys Institutional Equity Division (IED) is a world leader in the origination, distribution and trading of equity, equity-linked and equity-derivative securities. Our broad and deep client relationships, market-leading platform and intellectual insights enable us to be a world-class service provider to our clients for their financing, market access and portfolio management needs. Responsibilities Include: 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. Support BU projects to create, enhance or develop procedures/protocols. Engaging with other regional Risk and control group (RCG) teams to focus on and deliver increased automation and standardization across applicable surveillance processes Engaging with IED contacts and other stakeholders to build awareness of Non- Financial Risk and RCGs 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 IED 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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