Manager_Non Market Risk_Institutional Equity Division

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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 world s 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 Stanley s 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 RCG s 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
• Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable processes