KCM365 Senior Associate - Sales & Trading Risk Management

KCM365 Senior Associate - Sales & Trading Risk Management

14 Sep
Morgan Stanley

14 Sep

Morgan Stanley


Job Level

:Senior Associate



The Non MarketRisk (NMR) is the Business unit risk management team for the Sales & Trading division of MorganStanley. This team is the first line of defence for the Sales & Tradingdivision 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 teamperforms are mentioned below:

TradeSurveillance – Identify and escalate sales& trading activity that appears counter to regulatory guidelines and/orFirm’s policies. These activities are considered unusual, abusive,manipulative,

fraudulent or otherwise unlawful and pose the above mentionedrisks to the firm.

Internal policycompliance – Monitoring to ensure employeeswithin the division are complying with the firm mandated policies like employeetrading, marketing & communications, unauthorized trading etc.

Entitlementsmanagements – Manage entitlements andinformation controls for the division and ensuring there is proper segregationof duties between conflicting functions, there is information barriers betweendesks etc.


Trade Surveillance

·ReviewingSales & Trading exception reports on daily basis, identify issues andescalate to business teams for appropriate corrective action

·Creatingtrend analysis of the issues identified during trade surveillance andsuggesting remedial actions for recurring trader or client behaviour

·Interactwith Sales & Trading supervisors and, when necessary, traders andsalespeople with regard to supervisory issues, exceptions and necessarysign-offs

·Helpensure that Sales & Trading activities satisfy pertinent legal, regulatoryand Firm requirements

·Reviewand make suggestions regarding RCG policies and procedures

·Identify,design and implement new reports to assist with the Firm keeping pace with theevolving Regulatory environment

Internal policy compliance

·Reviewinginternal policy breaches on a daily basis, investigate, educate and escalate asnecessary

·Trendand identify repeat behaviours and establish a process to address recurrence

·Reviewingelectronic communications and escalating where these are not in line withinternal policies

·Createmanagement reports to highlight issues, trends, new regulatory changes etc.


·Provisioningemployees to Morgan Stanley accounts and Sales & Trading applications

·Periodicallyreviewing the appropriateness and relevance of the entitlements to variousapplications


·LeadRisk projects, in particular, ones related to the supervisory platform and theinformation security program

·Developingbusiness requirements documents and procedures for strategic initiatives

Identifying and driving various efficiency andproductivity initiatives for the team



·CharteredAccountant or MBA

·3-5years with a background in Compliance, Risk Management, Trade surveillance and/ or Trading Support focusing on sales and trading issues

·Abilityto work independently

·Exceptionalorganizational skills and high degree of attention to detail

·Knowledgeof Equities markets, understanding of applicable regulatory rules andregulations

·Excellentoral and written communication skills

·Anunderstanding of and strong focus on the mechanics of a control environment,including escalation and risk-related issues

·Proficiencyin MS Office and related applications (Word, Excel, PowerPoint)

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