Senior Associate - Supervision (Fixed Income Division)

The Fixed Income Division (FID) is comprised of Interest Rate and Currency Products, Credit Products, Commodities and Distribution. Professionals in the Division assess and actively manages risk, trade securities, and structure as well as execute innovative transactions in the fast-paced and constantly changing global markets. The Fixed Income Division is a market leader across a broad range of commodities markets, with expertise in areas including client risk management, financing solutions and investor products Sales & Trading. From the largest global institutions to innovative new hedge funds, investors come to Morgan Stanley for sales, trading, and market-making services in almost every type of financial instruments including stocks, bonds, derivatives, foreign exchange, and commodities. Our professionals provide liquidity and content to clients around the world, actively assessing and managing risk, trading securities, and planning and executing transactions in the fast-changing markets. As the needs of our clients become increasingly complex, we often develop customized solutions.

Responsibilities Include:

Reviewing internal policy breaches on a daily basis, investigate, educate and escalate

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

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, reduce false positives or further enhance the report logic

Skills required

Management Graduate/ Master s in Commerce/Chartered Accountant