Job Summary

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 surveillance team review alerts generated based on rules and regulations, internal policies and procedures.

What youll do in the role:

- Reviewing global markets(Non-Market Abuse) exception reports on daily basis, identify issues and escalate for appropriate corrective action
- Creating trend analysis of the issues identified and suggest remedial actions for recurring patterns
- Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
- Help ensure that trading activities comply with relevant legal,



regulatory and Firm requirements
- Partner with stakeholders to design and implement recent reports to assist with the Firm keeping pace with the evolving Regulatory environment
- Partner in projects related to improving the review process, reduce false positives or further enhance the report logic

What youll bring to the role:

In order to achieve the key objectives, we need individuals with below skills and mind set:
- Management Graduate/ Master s in Commerce/From Finance Background
- 3-6 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues
- Ability to work independently
- Positive mindset and inquisitive to learn and perform
- Exceptional organizational skills and high degree of attention to detail
- Knowledge of Equities and Fixed income markets, understanding of applicable regulatory rules and regulations
- Excellent oral and written communication skills
- An understanding of and solid focus on the mechanics of a control workplace, including escalation and risk-related issues
- Proficiency in MS Office and related applications (Word, Excel, PowerPoint)

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 Sr Associate/ Manager , Central Risk Team (Trade Surveillance) (Mumbai)
🏢 Morgan Stanley
📍 Mumbai