Manager - Entitlements_GCM Risk

Division Profile

Global Capital Markets (GCM) responds with market judgment and ingenuity to meet clients needs for capital. Whether executing an IPO, a debt offering or a leveraged buyout, GCM integrates Morgan Stanleys expertise in Investment Banking and in Sales & Trading, offering clients seamless advice and sophisticated solutions. We originate, structure and execute public and private placements of equity and equity-linked securities, investment-grade and non-investment-grade debt and related products.

Background on th e Team

The Business unit risk management team for the Global Capital Markets Division (GCM) fulfils a front office advisory role as the first line of defence. Team provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements and information security by performing in-depth assessments and implementing consistent policy framework globally for GCM. 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 scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.

Primary Responsibilities

Maintain GCM Roster which is a central inventory to house employee related details

Maintain supervisory dashboard which is a workflow and escalation tool used by the division

Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, electronic communications, outside business interest, mandatory vacation etc.

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

Review licensing requirements and build necessary controls around it

Create management supervisory packs to highlight issues, trends, new regulatory changes etc.

Build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.

Providing application entitlements to GCM employees post necessary risk based due diligence

Periodically reviewing the appropriateness and relevance of the entitlements to various applications

Monitoring of physical access to restricted GCM floors and conduct periodic reviews

Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions

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

Identifying and driving various efficiency and productivity initiatives for the team