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. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.
Wealth Management Compliance Monitoring functions to conduct trade surveillance and oversight of supervisory activities in the Wealth Management business. The team performs trade surveillance monitoring to detect potential market abuse and trading on material non-public information among employees and clients on the Morgan Stanley/E*TRADE platforms. The team also performs direct oversight of supervisory activities conducted by Wealth Management Risk to ensure the adequacy of risk mitigation efforts. A crucial component of the Monitoring team's oversight function is to identify trends and patterns of potential sales practice concerns across the population of financial advisors (FAs) servicing Morgan Stanley clients. The team is seeking a data analyst to support the development of analytical processes and reporting to help identify FA patterns. The successful candidate would be responsible to leverage the Firm's internal data warehouse to query data, process it, and develop insights to inform about trends relating to client suitability and FA sales practices. The candidate will report directly to the team's Head of Monitoring Governance and Reporting. - Structuring complex queries to source the Firm's data warehouse - Creating and maintaining workflows in Dataiku to automate data analyses - Applying statistical methods on large datasets to support inference - Performing independent measurements of risks reported by the Business - Assisting with ad hoc data analysis requests - Demonstrated proficiency in SQL and Python - A quantitative degree e.g., Engineering, Math, Statistics, Computer Science - Ability to communicate technical concepts to senior managers either verbally or in written form - Team oriented with a strong work ethic and high level of maturity - At least a working knowledge of quantitative financial concepts with a desire to acquire deeper proficiency - At least two years of relevant work experience - CFA or FRM or progress towards one of the two a plus - Role will require in office attendance 3 days/week.
For New York, expected base pay rates for the role will be between $85,000 and $135,000 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's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
Morgan Stanley is an equal opportunity employer committed to diversifying its workforce (M/F/Disability/Vet).
