ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing

Our Insights Personal Finance Market Trends Technology & Disruption Sustainability Diversity & Inclusion What We Do Wealth Management Investment Banking & Capital Markets Sales & Trading Research Investment Management Morgan Stanley at Work Sustainable Investing Inclusive Innovation About Us Core Values Leadership History Locations Diversity Sustainability Giving Back Technology Careers Students & Graduates Experienced Professionals LanguageEnglishFrench Single PositionView All JobsISG Trade Surveillance, Associate, Oversight, Monitoring and TestingMumbai, Maharashtra, India No longer accepting applications.Employment TypeFull timeJob LevelProfessionalYou are required to review the Firm’s Mobility Guidelines on careerhub/ prior to submitting your application to ensure you understand and abide by your obligations under the Firm policy.JOB LEVELAssociate (Professional)TIERP2We’re seeking someone to join our team as an Associate in Legal and Compliance division to team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Firm Traders/ Institutional Clients.In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm’s management of legal, regulatory and franchise risk. This is an Associate level position within the Oversight, Monitoring and Testing .The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Control Unit, Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the surveillance program such as Insider Trading, Ramping.Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.What you'll do in the role:Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the reviewLiaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary.Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriateAssist in identifying any coverage gaps, quality issues to help improve program effectivenessSupport tuning and optimization efforts to help create efficiencies.Creating and Presenting Management Information Packs on a periodic basisAssisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controlsAssisting in the delivery of surveillance related projects or initiativesSupport regulatory inquiries, regulatory inspections, internal audits by providing requested data / addressing respective queriesInteraction with IT/ QDAWork with IT and / or vendors in enhancing/ developing new tools;Participate in testing/ requirement drafting of new models/reportsWhat you'll bring to the role:At least 2+ years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;Preference will be given to candidates with relevant experience in Trade SurveillancePossess excellent knowledge of financial instruments and co-relation of these instruments to being able to assess cross- product risks/ manipulations.Knowledge of global markets / market regulations.Understanding and knowledge of trading mechanisms across different financial instruments/ markets.Should possess knowledge of trade booking and settlementsExcellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively,...