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Job Opening details:-
Company Name :-
Morgan Stanley
Position Name :- Surveillance

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

Full Job Description :-

Job Number: 3195708
POSTING DATE: Apr 5, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Refer to Position Description
JOB: Investment Banking/Sales/Trading/Research
JOB LEVEL: Senior Associate

Division: FID
Job Title: Surveillance

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:

Implementation, execution and oversight of the Fixed income trading surveillance reports, including both client and principal activity
Daily review of surveillance reports working closely with traders to understand the nature of their trading activity
Escalations of alerts to supervisors and/or Legal and Compliance, as needed
Review orders and trades to ensure best execution is achieved for clients, for Fixed Income products, including currencies and commodities. Perform investigation on trades to assess if desk has achieved fair pricing towards its clients. Have strong knowledge of best execution and fair pricing regulations
Investigate trades to verify if a particular desk/risk manager has the mandate to trade in a specific product.
Develop business requirements documents and write procedures related to surveillance
Develop and present metrics to management related to trade surveillance.
Contributing to or collaborating on various divisional or firm-wide regulatory responses and/or projects related to strategic processes and surveillance models required for regulatory compliance.
General day to day response to risk management situations needing immediate attention and follow-through such as investigating and helping to resolve problems with compliance and regulatory matters, inquiries from regulators and/or audit, and numerous other risk incidents.

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;
Knowledge of NASDAQ SMARTS and/or NICE Actimize a plus
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

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.

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