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Job Opening details:-
Company Name :-
Morgan Stanley
Position Name :- Associate-CRU

Company Location :-
Mumbai, Maharashtra
Job Category :-
Jobs in Pune

Full Job Description :-

Job Number: 3205342
POSTING DATE: Mar 25, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
JOB: WM Risk
JOB LEVEL: Associate

Wealth Management Risk-Central Review Associate
Wealth Management Risk functions as an in-business risk unit to provide risk assessment and risk management of Financial Advisors within Wealth Management. The Central Review Analyst provides centralized risk oversight of the Wealth Management Financial Advisors, ensuring consistency in both the review and resolution of potential sales practice, suitability, and regulatory focus issues.
Analyst Responsibilities Include:
Analysis of a suite of controls that cover various areas of Risk
Reviewing data quality issues/violations of firm’s compliance policies
Identifying possible patterns and trends during the review process
Review and monitoring of Investment Policy statements of the clients
Reporting of daily activities conducted within the team
Participate in meetings with local and US supervisory teams as needed
Providing coverage to the US team on need basis

Knowledge, Skills, and Abilities
Problem solving skills and Strong attention to detail
Knowledge of Exchange (SEC), FINRA and Investment Compliance Policies is an added advantage
Understanding of financial products, trading rules and regulatory landscape
Efficient in MS office suite, MIS, Advanced excel is an added advantage
Strong interest in deepening business knowledge of financial industry and wealth management
Effective written and verbal communication skills
Ability to organize and prioritize work and meet strict SLAs

3-5 years of industry experience
Risk or compliance experience a plus

Bachelor’s/MBA degree or equivalent work experience

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