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 you'll 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 you'll 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, T

📌 Institutional Securities Group, Senior Associate/ Manager, Central Risk Team (Mumbai)
🏢 Morgan Stanley
📍 Mumbai