JOB POST: Manager-ISG Trade Surveillance (LCD) at Morgan Stanley, Mumbai, Maharashtra: Apply Now

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. The Firm’s employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.

About the Opportunity

As a Compliance Professional in the Institutional Securities Group (ISG) Surveillance Strategy group, the candidate will support the expansion of the group’s Quality Management (QM) function.

The QM function is responsible for the Quality Assurance (QA), Tuning, Optimization, and Model Risk Management of the Global ISG Surveillance Program. In this role, the candidate will work closely with global Compliance monitoring teams, Technology teams, and the ISG Surveillance Strategy team to execute the strategic objectives of the program and BAU activities related to improving the effectiveness and efficiencies of the program.

Roles & Responsibilities

• Conduct quality assurance reviews of surveillance activities, including alert review methodology and disposition, to validate and ensure the quality of people, surveillance controls, and data upon which the program depends upon.
• Support the ongoing design, development, and production of global surveillance metrics related to Quality Assurance reviews.
• Help to drive innovation and continuous improvement within the global Compliance Monitoring program through the identification of improvement opportunities, oversight of critical remediation efforts, and promotion of best practices and process optimization.
• Support and provide input into related surveillance programs including the ongoing creation of global surveillance metrics, KRIs, and KPIs.
• Escalate performance matters to appropriate stakeholders in Central/Regional Compliance, oversee the remediation efforts, and validate the corrective action was taken.

Eligibility

• 5+ years of relevant working experience preferably in conducting / supervising market abuse surveillance or related activities in the financial services industry
• Alternatively, experience conducting Audits or Testing of Market Abuse Surveillance controls would also be suitable.
• Working knowledge of financial markets in the institutional Sales and Trading businesses (i.e., Equities, Fixed Income, FX and Commodities)
• Preference will be given to candidates with experience using SMARTS Broker, Actimize, Bloomberg, and/or other vendor tools

• Possess excellent knowledge of financial instruments and markets.
• Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets.

• Industry qualifications i.e. Post Graduate / MBA in Finance
• Knowledge of global markets / market regulations
• Excellent verbal and written English communication skills ? ability to effectively correspond with various groups and senior professionals over email and the telephone
• Strong Analytical Skills and attention to detail
• Ability to work with cross-functional, and cross-regional, teams spanning Compliance, and Technology.
• Excellent presentation and interpersonal skills, including the ability to communicate clearly and concisely both verbally and in writing
• Proficiency with Microsoft Excel, PowerPoint, Word and IT systems generally
• Working knowledge of Tableau will be viewed favorably
• Must be able to maintain a high level of organization under pressure.

Location

Mumbai

Click here to apply.