Job Information
Morgan Stanley Analyst- Field Risk Central Review - Wealth Management in Mumbai, India
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.
AnalystResponsibilities 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
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Knowledge, Skills, and Abilities
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· 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, 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
Experience
· 0-3 years of industry experience
· Risk or compliance experience a plus
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Education
· Bachelor’s/MBA degree or equivalent work experience
- *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.
Job: *Wealth Management
Title: *Analyst- Field Risk Central Review - Wealth Management *
Location: Non-Japan Asia-India-India-Mumbai (MSA)
Requisition ID: 3249238
