- 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;
- Liaising with Compliance Surveillance teams to review escalations and assist in the disposition of market abuse surveillance alerts;
- 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;
- Providing application approvals and performing entitlement reviews of various applications owned and accessed by IED sales and trading personnel.
- 1-5 years' 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;
-
Strategic Transactions Group Analyst
2 days ago
Barclays New York, United States**Strategic Transactions Group Analyst** · **New York, NY** · This role is regulated by FINRA. · As a Barclays Strategic Transactions Group Analyst, you will be assisting in the execution and ongoing management of complex transactions that serve to achieve the effective tax rate ...
-
Financial Analyst, Group Benefits
1 week ago
Guardian Life Insurance Company New York, United StatesThe Financial Analyst is responsible for performing cost & benefit analysis to assist with prioritizing the Lean Business Cases (LBC) for all strategic and operational initiatives related to Group Benefits insurance products. This position will utilize a wide range of financial a ...
-
Associate Analyst
1 week ago
NYC Careers New York, United States**Associate Analyst**: · - Apply**Associate Analyst**: · - Agency: DEPARTMENT OF CITY PLANNING · - Posted on: 05/10/2024- Job type: Full-time · Location · NYC-ALL BOROS · - Title Classification: Exam may be required · Department · Capital Planning · - Salary range: $71, $81, **CA ...
-
Santander Holdings USA Inc New York, United States Full timeAnalyst/Associate - Investment Banking - Financial Institutions Group (FIG)New York, United States of AmericaEssential Functions/Responsibility Statements: · Provides support to senior bankers. · Develop client presentation materials, including all background research, analysis ...
-
Wilson Sonsini Goodrich & Rosati New York, United StatesLocation: · - New York- Palo Alto- San Francisco- Washington, D.C.Wilson Sonsini is the premier legal advisor to technology, life sciences, and other growth enterprises worldwide. We represent companies at every stage of development, from entrepreneurial start-ups to multibillion ...
-
Associate, Business Analyst
4 days ago
Sallie Mae Newark, United StatesWhen you join Sallie Mae, you become a champion for all students. · We're on a mission to power confidence as students begin their unique journey. To help them plan their higher education, successfully finish, and prepare for life after school. To help them Start smart. Learn big ...
-
Associate Analyst, Business Enablement
1 week ago
Finra New York, United StatesThe Associate Analyst will be responsible for developing strategies to optimize and improve our business processes and employees' experiences. The Associate Analyst will work with process owners, executive sponsors, and stakeholders across multiple lines of business to identify i ...
-
Associate Revenue Cycle Analyst
4 days ago
NYU Langone Health New York, United States**NYU Langone Health** is a world-class, patient-centered, integrated academic medical center, known for its excellence in clinical care, research, and education. It comprises more than 200 locations throughout the New York area, including five inpatient locations, a children's h ...
-
Associate Analyst, Supply Chain
4 days ago
The Estée Lauder Companies New York, United States**Who We Are**: · The Estée Lauder Companies is the global leader in prestige beauty — delighting consumers with transformative products and experiences, inspiring them to express their individual beauty. We are the only company focused solely on prestige makeup, skin care, fragr ...
-
Loan Operations Analyst/associate
8 hours ago
TD Witz Associates New York, United StatesResponsibilities · - Analysis of loan administration activities including interpreting Agent notices related to paydowns, borrowings, fundings, capitalized interest, and rollovers. · - Review and maintenance of security attributes (Ratings, Recovery rates, Industries, Spreads, Ma ...
-
Clo Analytics Analyst/associate
8 hours ago
TD Witz Associates New York, United States**Primary Responsibilities** · - Facilitating monthly and quarterly report reconciliations between the CLO trustees and Third Party Administrator ("TPA") · - Maintaining CLO Compliance metrics for data analysis and investor questions · - Calculating and tying out waterfall paymen ...
-
Loan Operations Analyst/associate
6 days ago
TD Witz Associates New York, United StatesResponsibilities · - Analysis of loan administration activities including interpreting Agent notices related to paydowns, borrowings, fundings, capitalized interest, and rollovers. · - Review and maintenance of security attributes (Ratings, Recovery rates, Industries, Spreads, Ma ...
-
Santander US New York, United StatesAnalyst/Associate - Investment Banking - Insurance, Financial Institutions Group (FIG) · New York, United States of America · Essential Functions/Responsibility Statements: · - Provides support to senior bankers. · - Develop client presentation materials, including all background ...
-
Analyst/associate, Real Estate Credit
1 week ago
Apollo New York, United StatesPosition Overview · Apollo is a high-growth, global alternative asset manager. In our asset management business, we seek to provide our clients excess return at every point along the risk-reward spectrum from investment grade to private equity with a focus on three investing stra ...
-
Affinius Capital New York, United StatesCompany Overview: · **Job Description**: · As an integral member of the team, the Analyst -or · - Associate will support the Global Investors Group with investor relations/services, marketing materials, and due diligence efforts. · **_ Essential Duties:_** · - Prepare DDQs and re ...
-
Analyst / Associate - Global Equities Coo
8 hours ago
Jefferies & Company, Inc. New York, United States**Key Responsibilities**: · - Identify client monetization opportunities and drive strategic initiatives liaising with Equity Sales & Trading management and Account managers · - Coordinate with Business management and corporate functions to remediate Sales and Client issues · - S ...
-
CFSB New York, United States**JOB SUMMARY**: · ***: · **Responsibilities**: · - Utilize advanced analytical techniques to analyze large volumes of financial data and transactional records for compliance oversight, escalation, and reporting. · - Collaborate with cross-functional teams to develop and implemen ...
-
Bank of America New York, United States**About Us**: · At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. · O ...
-
Senior Group Analyst
1 week ago
Snapchat New York, United States Full timeSnap Inc is a technology company. We believe the camera presents the greatest opportunity to improve the way people live and communicate. Snap contributes to human progress by empowering people to express themselves, live in the moment, learn about the world, and have fun togethe ...
-
Partner + Associate Group
2 weeks ago
Direct Counsel New York, United StatesDirect Counsel is actively seeking an accomplished Corporate Partner with a cohesive group of Associates to join our dynamic team. The ideal candidate will bring a portable book of business, along with a group of talented Associates, and a proven track record of success in corpor ...
IED - Regulatory Control Group - Analyst/Associate - New York, United States - Morgan Stanley
Description
The position available is an Analyst or Associate level position within the Institutional Equity Risk Management team, specifically within the Regulatory 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.
Responsibilities include:
Experience / Skills Required:
Expected base pay rates for the role will be between $115,000 and $180,000 per year at the commencement of employment.
However, base pay if hired will be determined on an individualized basis and is only part of the total compensation package, which, depending on the position, may also include commission earnings, incentive compensation, discretionary bonuses, other short and long-term incentive packages, and other Morgan Stanley sponsored benefit programs.
Morgan Stanley's goal is to build and maintain a workforce that is diverse in experience and background but uniform in reflecting our standards of integrity and excellence.
It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
IED - Regulatory Control Group - Analyst/Associate professionals in New York City
-
teresa zhou
Experince Tax manager
-
Ariel J
FP&A Manager
-
Sammy Relles
Information Science @ Cornell University
-
YUXIN ZHOU
Yuxin Zhou
-
My Hoang
Financial Services; Product Management
-
Jennifer A. Baez
Teacher