The Central Risk team within Institutional Securities Group (ISG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, and information security by performing in-depth assessments and implementing consistent programmatic coverage globally for Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking and Research. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls, and policies.

The ISG Central Risk team fulfils a front office advisory role as the first line of defense.

The scope of this role includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues.

ISGM Central Risk Team - ISG Central Risk Supervision team reviews internal policies that employees within ISG need to adhere to e.g. Employee Trading Policy, Mandatory Vacation Policy, E-Communication Surveillance policy.



The team is bifurcated by region to manage stakeholder engagement and ensuring standardization of reviews across Business groups.

What you'll do in the role:
Reviewing internal policy breaches daily, investigate, educate and escalate as necessary
Trend and identify repeat behaviors and establish a process to address recurrence
Reviewing electronic communications and escalating where these are not in line with internal policies
Create management reports to highlight issues, trends, recent regulatory changes etc.
Support BU projects to create, enhance or develop procedures/protocols.
Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes
Engaging with ISG contacts and other stakeholders to build awareness of Non- Financial Risk and RCG's continued focus on proactive and effective surveillance and supervision
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📌 Central Risk Team Mumbai (India)
🏢 Morgan Stanley
📍 India