Counterparty Risk Management Senior Associate Fixed Income Division

About the role

The ISG Central Risk team within Morgan Stanley's Institutional Securities Group provides front-office oversight of regulatory and firm requirements for supervision, surveillance, entitlements, and information security across Institutional Equities, Fixed Income, Global Capital Markets, Investment Banking, and Research. As a Senior Associate in the Fixed Income Division based in Mumbai, India, you will review internal policy breaches daily, investigate and escalate issues, monitor electronic communications, and create management reports on trends and regulatory changes. You will partner with regional and business stakeholders to drive automation, standardize surveillance processes, and ensure ISG activities comply with legal, regulatory, and firm requirements.

What you’ll do

• Review internal policy breaches daily, investigate, educate, and escalate as necessary
• Trend and identify repeat behaviors and establish a process to address recurrence
• Review electronic communications and escalate where these are not in line with internal policies
• Create management reports to highlight issues, trends, and new regulatory changes
• Support business unit projects to create, enhance, or develop procedures and protocols
• Engage with other regional RCG teams to deliver increased automation and standardization across surveillance processes
• Engage with ISG contacts and stakeholders to build awareness of Non-Financial Risk and proactive surveillance
• Partner with stakeholders to design and implement new reports to keep pace with the evolving regulatory environment

What you’ll bring

• Management Graduate, Master's in Commerce, or Finance background
• 3-6 years of experience in Compliance, Risk Management, Trade surveillance, and/or Trading Support focusing on sales and trading issues
• Knowledge of Equities markets
• Understanding of applicable regulatory rules and regulations
• Excellent oral and written communication skills
• Ability to work independently
• Exceptional organizational skills and high degree of attention to detail
• Proficiency in MS Office and related applications (Word, Excel, PowerPoint)

Skills

Education

Management Graduate/ Master’s in Commerce/From Finance Background