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Associate-CRU

3.00 to 5.00 Years   Mumbai City   28 Mar, 2022
Morgan Stanley Advantage Services Pvt Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaRisk / Underwriting
EmploymentTypeFull-time

Job Description

    Wealth Management Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The Central Review Analyst provides centralized risk oversight of the Wealth Management Financial Advisors, ensuring consistency in both the review and resolution of potential sales practice, suitability, and regulatory focus issues. Analyst Responsibilities Include:
    • Analysis of a suite of controls that cover various areas of Risk
    • Reviewing data quality issues/violations of firm s compliance policies
    • Identifying possible patterns and trends during the review process
    • Review and monitoring of Investment Policy statements of the clients
    • Reporting of daily activities conducted within the team
    • Participate in meetings with local and US supervisory teams as needed
    • Providing coverage to the US team on need basis
    , * Knowledge, Skills, and Abilities
    • Problem solving skills and Strong attention to detail
    • Knowledge of Exchange (SEC), FINRA and Investment Compliance Policies is an added advantage
    • Understanding of financial products, trading rules and regulatory landscape
    • Efficient in MS office suite, MIS, Advanced excel is an added advantage
    • Strong interest in deepening business knowledge of financial industry and wealth management
    • Effective written and verbal communication skills
    • Ability to organize and prioritize work and meet strict SLAs
    Experience
    • 3-5 years of industry experience
    • Risk or compliance experience a plus
    Education
    • Bachelor s/MBA degree or equivalent work experience

Keyskills :
ms office suiteinvestment policy statementsms officedata qualityadvanced excelrisk managementrisk assessmentwealth management

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