IED - Risk Control Group - Analyst

London, UK
Not disclosed
25 Sep 2023
05 Oct 2023
Approved employer
Full time
Qualified accountant
IED - Risk Control Group Analyst

The position available is within the Institutional Equity Risk Management team, specifically within the Risk Control Group (RCG). RCG is responsible for the overall supervisory program and information security platform for the Institutional Equity Division (IED). The individual will be required to work with senior members of the business and associated control functions, including Legal, Compliance and Technology Risk. The individual will be responsible for reviewing IED sales and trading desk activities to help ensure compliance with applicable rules and regulations governing the Firm’s activities, as well as adherence to internal policies, procedures, standards and controls.

About Morgan Stanley

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. We can provide a superior foundation for building a professional career – a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

What will you be doing?

  • Interacting with IED supervisors and, when necessary, traders and sales people, with regard to supervisory issues, including exceptions, violations, and obtaining sign-offs;
  • Monitoring existing control frameworks and / or improving these or creating new control frameworks if none exist;
  • Reviewing sales and trading exception reports on a daily basis and maintaining records of these reviews, e.g., best execution, frontrunning, options ticket timeliness;
  • Identifying, designing, testing, and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment;
  • Leading and participating in projects related to the overall IED risk management framework, as well as the information security programs;
  • Helping to ensure that IED sales and trading activities satisfy applicable legal, regulatory and Firm requirements;
  • Reviewing and interpreting Firm and IED-specific policies and procedures for application to the business;
  • Establishing and maintaining relationships and working closely with IED supervisors, IED Risk Management, Technology, Operations and Compliance;

What we’re looking for:

  • Experience in the Financial Services industry with a background in Compliance, Risk Management and / or Trading Support, focused on sales and trading issues;
  • Curiosity and a desire to learn new concepts, processes, products and regulations;
  • Strong motivation—be a self-starter with a positive outlook and desire to solve problems;
  • Strong analytical skills with an ability to understand complex processes and workflows;
  • Sound judgment and an ability to identify and escalate issues effectively and appropriately;
  • Exceptional organizational skills and a high degree of attention to detail;
  • Solid understanding of applicable rules and regulations;
  • Strong project management skills;
  • Excellent oral and written communication skills to clearly articulate objectives, requirements, risks and issues;
  • An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues;
  • Ability to thrive in a fast-paced environment, handling multiple tasks simultaneously in a timely and effective manner;
  • Proven ability to take ideas forward and to challenge others with integrity and maturity;
  • Proficiency in data analytics and visualization tools such as Tableau is a plus;

Skills that will help you in the role:

  • Advanced in Mircrosoft Word, Excel and Power Point
  • Microsoft Outlook (email and calendar) required

Flexible work statement:

Interested in flexible working opportunities? Morgan Stanley empowers employees to have greater freedom of choice through flexible working arrangements. Speak to our recruitment team to find out more.

Internal Applicants:

Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here.

Equal opportunities statement:

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize 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.

For further information, and to apply, please visit our website via the “Apply” button below.