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JOB DESCRIPTION-Non-Market Risk Manager- Associate _____________________________________________________________________________________________ Institutional Equity Division New York, Non-Market Risk Manager, Associate Location: 1585 Broadway, New York, New York Education: Bachelor's Degree required Position Category: Equities Sales & Trading Position Type: Full-Time
Group Summary The Firm's Equity Sales & Trading Division provides liquidity, distributes content, and creates product solutions to help service our clients. Non-Market Risk Managers within the Institutional Equity Division ("IED") of Morgan Stanley focus on supporting the Division in a variety of capacities including implementation of regulatory reform, updates to technologies and processes to meet business needs and liaising with Legal, Compliance, Operations, Finance and other Firm functions that support the Equity business. Description The available position is an Associate level position within IED Risk Management, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory program and information security platform for IED. The individual will be required to work with senior members of the businesses and associated control functions, such as Legal, Compliance and Technology Risk. The individual will be responsible for reviewing IED sales and trading desk activities to ensure compliance with applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies. Training will be provided as needed.
Job Responsibilities include:
Reviewing sales and trading exception reports on a daily basis and maintaining records relating to these reviews. Some examples include Best Execution, Manning and Frontrunning;
Interacting with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and obtaining sign-offs;
Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;
Leading and participating in projects related to the supervisory platform and the information security program;
Helping ensure that IED sales and trading activities satisfy all pertinent legal, regulatory and Firm requirements;
Reviewing and interpreting Firm as well as IED-specific policies and procedures for the business;
Identifying, designing and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment;
Establishing relationships and working closely with IED supervisors, IED Risk Management, Technology, Operations and Compliance;
Providing application approvals and performing reviews of various applications owned and accessed by IED sales and trading desks. Required Skills
2-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues
Strong motivation to be a self-starter with a positive outlook and desire to solve problems
Strong analytical skills with an ability to understand complex workflows
Exceptional organizational skills and a high degree of attention to detail
Ability to identify and escalate issues effectively and appropriately
Solid understanding of applicable regulatory rules and regulations
Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment that lends itself to changing priorities and quick turnaround
Proven ability to take ideas forward and to challenge others with integrity and maturity
Strong project management skills
Excellent and concise oral and written communication skills across various levels of seniority in an organization demonstrated by clearly articulating objectives, requirements, risks and issues
An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)
Background/experience in and/or interest in business, finance and IED products
Internal Number: 5536133
About Morgan Stanley USA
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