Sr Associate /Associate - Risk Control Group - Mumbai

Division: FID Job Title: Risk Controls Group

Location: Mumbai Job Level: Assoc. / Sr. Assoc.

Department Profile:

The Fixed Income Division is comprised of Interest Rate and Currency Products, Credit Products and Distribution.

Professionals in the Division assess and actively manages risk, trade securities, and structure as well as execute innovative transactions in the fast-paced and constantly changing global markets. The Commodities Division is a market leader across a broad range of commodities markets, with expertise in areas including client risk management, financing solutions and investor products Sales & Trading

From the largest global institutions to innovative new hedge funds, investors come to Morgan Stanley for sales, trading, and market-making services in almost every type of financial instruments including stocks, bonds, derivatives, foreign exchange, and commodities. Our professionals provide liquidity and content to clients around the world, actively assessing and managing risk, trading securities, and planning and executing transactions in the fast-changing markets. As the needs of our clients become increasingly complex, we often develop customized solutions.

Primary Responsibilities:

The candidate will work closely with the rest of the team but is expected to be comfortable to handle tasks independently, including the following:

- Provide oversight and supervision for all Sales & Trading activities

- Perform risk reviews of global communications with the ability to decipher potential conduct issues through these communications

- Engaging with global RCG (Risk Control Group) team to focus on and deliver increased automation and standardization across applicable surveillance and supervision processes

- Confidence in liaising with Trading Supervisors to understand desk conduct

- Updating Rosters and setting up Supervisor names in the system

- Generating unauthorised off-premise Trading alerts

- Monitoring the Mandatory Vacation Action reports

- Follow-up and seek reasons for P&L and Risk non sign-offs

- Highlighting trades where Manager pre-clearance is not sought, as well as, all such transactions which are held for less than 30 days

- Raising events on the Supervisory Dashboard

Qualifications - Internal

Skills Required:

- Excellent interpersonal and communication skills (written and verbal) for effective communication with various teams

- Good knowledge of Fixed Income products, including FX and Commodities

- Effective time management and organizational skills within a fast-paced environment

- Good understanding of Franchise Risk, i.e., identifying, analysing and prioritizing regulatory, sanctions, and legal findings

- Good knowledge of entity types and corporate structures

- Highly organized, detail-oriented and thorough;

- Strong decision-making, problem solving and analytical skills; ability to cope with pressure and multi-task

- Ability to plan, organize and deliver results within tight timeframes

- Ability to work collaboratively on group projects and independently on individual assignments;

- Mature and professional; comfortable working in an open-floor working environment.

- Willing and eager to learn and work with different teams and divisions of the Firm

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