ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing

Morgan Stanley — Mumbai, India

We’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 review Liaising 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 appropriate Assist in identifying any coverage gaps, quality issues to help improve program effectiveness Support tuning and optimization efforts to help create efficiencies. Creating and Presenting Management Information Packs on a periodic basis Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls Assisting in the delivery of surveillance related projects or initiatives Support regulatory inquiries, r

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