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
- Drive discussion with relev

📌 Central Risk Team (Mumbai)
🏢 Morgan Stanley
📍 Mumbai