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Vice President - IED Non Market Risk

10.00 to 14.00 Years   Mumbai City   15 Jun, 2022
Morgan Stanley Advantage Services Pvt Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaSBU Head / CEO / Director
EmploymentTypeFull-time

Job Description

    The Non Market Risk (NMR) is the Business unit risk management team for the Sales & Trading division of Morgan Stanley. This team is the first line of defence for the Sales & Trading division of the firm which comprises of Institutional Equities Division (IED) and Fixed Income Division (FID). Team helps manage regulatory, conduct, operational and franchise risk for the division. Key functions which the team performs are mentioned below:Trade Surveillance Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firms policies. These activities are considered unusual, abusive, manipulative, fraudulent or otherwise unlawful and pose the above mentioned risks to the firm.Internal policy compliance Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, marketing & communications, unauthorized trading etc.Entitlements managements Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions, there is information barriers between desks etc.Primary ResponsibilitiesManaging functions within the Regulatory Control Group Mumbai team and effectively integrate new processes and enhance existing ones;Interacting with global non market risk teams with regard to supervisory issues and exceptions;Interacting with global members from associated control functions, such as Legal, Compliance and Technology Risk;Solving problems by effectively collaborating within and across teams outside of the Risk Management function;Supervising the offshore review of sales and trading exception reports on a daily basis and maintaining records relating to these reviews, some examples Reg. SHO, Wash Sales and Employee TradingSupervising offshore activities around risk controls;Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;Leading projects related to the supervisory platform and the information security program;Establishing relationships and work closely with FID/IED Risk Management, Technology, Operations, Finance, and Compliance.QUALIFICATIONSChartered Accountant or Masters in Business Management or similar professional with 12-14 years background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issuesEffective management and leadership skillsStrong motivation, be a self-starter with a positive outlook and desire to solve problemsStrong analytical skills with an ability to understand complex workflowsStrong communication skills with an ability to speak to senior managementAbility to identify and escalate issues effectively and appropriatelyGood organizational skills and a high degree of attention to detailStrong project management skillsStrong oral and written communication skills with ability to clearly articulate objectives, requirements, risks and issuesProven ability to take ideas forward and to challenge others with integrity and maturityProficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)Enthusiasm to volunteer or lead planning and organizing in events held by the department and firm,

Keyskills :
project managementautomationcost controldelivery

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