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, investigate, educate and escalate as necessary
Trend and identify repeat behaviours 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, new regulatory changes etc.
Support BU projects to create, enhance or develop procedures/protocols.
Engaging with other regional Risk and control group (RCG) teams to focus on and deliver increased automation and standardization across applicable surveillance processes
Engaging with IED 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 relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic
Help ensure that IED activities comply with relevant legal, regulatory and Firm requirements
Partner with stakeholders to design and implement new 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
Management Graduate/ Master's in Commerce/ Management Graduate
1-3 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues
Ability to work independently
Exceptional organizational skills and high degree of attention to detail
Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
Excellent oral and written communication skills
An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
Proficiency in MS Office and related applications (Word, Excel, PowerPoint)
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.