JOB POST: Sales and Trading Associate at Morgan Stanley, Mumbai: Apply Now!

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Applications are invited from eligible candidates for the post of Sales and Trading Associate at Morgan Stanley, Mumbai.

About Morgan Stanley

Morgan Stanley is an American multinational investment bank and financial services company headquartered at 1585 Broadway in Midtown Manhattan, New York City.

About the Job

The Non Market Risk (NMR) is the Business unit risk management team for the Sales & Trading division of Morgan Stanley. This team is the first line of defence for the Sales & Trading division of the firm which comprises of Institutional Equities Division (IED) and Fixed Income Division (FID). Team helps manage regulatory, conduct, operational and franchise risk for the division. Key functions which the team performs are mentioned below:

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  • Trade Surveillance – Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm’s policies. These activities are considered unusual, abusive, manipulative, fraudulent or otherwise unlawful and pose the above mentioned risks to the firm.
  • Internal policy compliance – Monitoring to ensure employees within the division are complying with the firm mandated policies like employee trading, marketing & communications, unauthorized trading etc.
  • Entitlements managements – Manage entitlements and information controls for the division and ensuring there is proper segregation of duties between conflicting functions, there is information barriers between desks etc.

Primary Responsibilities

Trade Surveillance

  • Reviewing Sales & Trading exception reports on daily basis, identify issues and escalate to business teams for appropriate  corrective action
  • Creating trend analysis of the issues identified during trade surveillance and suggesting remedial actions for recurring trader or client behaviour
  • Interact with Sales & Trading supervisors and, when necessary, traders and salespeople with regard to supervisory issues, exceptions and necessary sign-offs
  • Help ensure that Sales & Trading activities satisfy pertinent legal, regulatory and Firm requirements
  • Review and make suggestions regarding RCG policies and procedures
  • Identify, design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment

Transaction reporting monitoring

  • Monitor and enhance front office controls through QlikView dashboard and Business objects on data points used for transaction reporting.
  • Generate Management information and summary packs as well investigating the exceptions. 
  • Identify and drive resolution of data related issues (Client, product or trader data for example); or
  • Identify and escalate issues with Front office systems impacting Transaction Reporting attributes; or
  • Maintain and improve the rules and the Pantheon enumerations lists that drive exceptions


  • Chartered Accountant or MBA
  • 0-3 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues
  • Ability to work independently
  • Exceptional organizational skills and high degree of attention to detail
  • Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
  • Excellent oral and written communication skills
  • An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues
  • Proficiency in MS Office and related applications (Word, Excel, PowerPoint)

How to Apply?

Interested applicants can apply for the post through this link.



Click here to view the official notification for the post of Sales and Trading Associate at Morgan Stanley, Mumbai.

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