ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing

We’re seeking someone to join our team as an Associate in Legal and Compliance division to team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Firm Traders/ Institutional Clients.

In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is an Associate level position within the Oversight, Monitoring and Testing .The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Control Unit, Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the surveillance program such as Insider Trading, Ramping.

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.

What you'll do in the role:

• Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review

• Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary.

• Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate

• Assist in identifying any coverage gaps, quality issues to help improve program effectiveness

• Support tuning and optimization efforts to help create efficiencies.

• Creating and Presenting Management Information Packs on a periodic basis

• Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls

• Assisting in the delivery of surveillance related projects or initiatives

• Support regulatory inquiries, regulatory inspections, internal audits by providing requested data / addressing respective queries

• Interaction with IT/ QDA

• Work with IT and / or vendors in enhancing/ developing new tools;

• Participate in testing/ requirement drafting of new models/reports

What you'll bring to the role:

• At least 2+ years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;

• Preference will be given to candidates with relevant experience in Trade Surveillance

• Possess excellent knowledge of financial instruments and co-relation of these instruments to being able to assess cross- product risks/ manipulations.

• Knowledge of global markets / market regulations.

• Understanding and knowledge of trading mechanisms across different financial instruments/ markets.

• Should possess knowledge of trade booking and settlements

• Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both verbally and in writing, to stakeholders across all levels.

• Strong analytical skills; experience of handling, analyzing and presenting large data sets to identify exceptions or anomalies

• Proven ability to develop rapport and promote effective 2-way communication with colleagues in global offices, fostering trust and an environment which supports development and constructive feedback.

• Problem solving abilities with capability to independently work under pressure.

• Desirable 12 months experience in a similar profile/industry.

• Understanding the implications of risk involved.

• Strong Analytical Skills and attention to detail

• Experience interpreting laws or regulations

• Knowledge of market data vendors (e.g. Bloomberg, Reuters Eikon).

• Knowledge / Use of analytical tools like Tableau/SQL to query large data sets.

• Understanding of new technologies like Machine Learning, AI, etc.

Coverage

Monday to Friday from 09:00AM to 6:00PM or 11:30AM to 8:30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)

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.

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.