Central Risk Team Analyst - Institutional Securities Group Management

The the Institutional Securities Group Management team (ISGM) Central Risk Team (CRT) provides oversight of regulatory and firm requirements for supervision, Surveillance by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equity, Fixed Income, Investment Banking, Global Capital Markets (GCM) and Research divisions. 

The CRT Analyst plays a key role in monitoring trading activity and supporting compliance with regulatory requirements across equity and fixed income products. The position involves close collaboration with business stakeholders across

Institutional Securities Group (ISG), as well as key control functions including Legal, Compliance, and Technology Risk. The Analyst is responsible for reviewing ISG activities to help ensure adherence to applicable laws and regulations, and compliance with the Firm’s internal policies, procedures, standards, and control framework.

Responsibilities include:

• Manage end‑to‑end surveillance alert workflows on a daily basis, including alert review, investigation, documentation, and escalation in accordance with regulatory and internal standards

• Coordinate with Legal, Compliance, and business stakeholders to review escalations, provide context, and support timely resolution of surveillance issues

• Identifying, designing, testing, and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment

• Analyze alert trends and outcomes to support continuous improvement of surveillance controls

• Maintain accurate, audit‑ready documentation to support regulatory inquiries, internal reviews, and examinations

• Experience or familiarity with automation and data tools (e.g., workflow automation, or surveillance platforms) to drive process efficiency.

• Providing backup coverage and quality assurance overview of other team members

• Assisting with annual parameter tunning reviews

• Helping to ensure that ISG activities satisfy applicable legal, regulatory and Firm requirements

Experience / Skills Required:

• 1-3 years’ experience in the Financial Services industry with a background in Compliance, Risk Management, Operations, Internal Audit or other relevant control functions

• Curiosity and a desire to learn new concepts, processes, products and regulations

• Strong motivation—be a self-starter with a positive outlook and desire to solve problems

• Exceptional organizational skills and a high degree of attention to detail

• Solid understanding of applicable rules and regulations

• Strong project management skills

• Excellent oral and written communication skills to clearly articulate objectives, requirements, risks and issues

• An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues

• Ability to thrive in a fast-paced environment, handling multiple tasks simultaneously in a timely and effective manner

• Proficiency in data analytics and visualization tools such as Tableau is a plus Fixed Income and/or Equity surveillance background is a plus

• FINRA Series 7 & 24 Licenses are a plus

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years.  Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There’s also ample opportunity to move about the business for those who show passion and grit in their work.

To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices​ into your browser.

Expected base pay rates for the role will be between $110,000 and $125,000 per year at the commencement of employment. However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.

Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background.  Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.

Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.

For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.