Roles and Responsibilities
· Create management information reports on a periodic basis.
· Monitor development in regulatory requirements and adjust surveillance models accordingly.
· Review and analyze trade surveillance reports and vendor surveillance system alerts, and sign off alert completion related to employee, client and Firm trading activities.
· Provide advice and guidance to employees on their investing and outside activities.
· Conduct investigations on irregularities and abnormal activities and document findings.
· Escalate unresolved issues or potential violations of Morgan Stanley’s policies or external rules and regulations to his/her manager, coverage compliance and senior management of business units.
· Process requests for T360 (Legal) vendor on-boarding/reactivations.
· Handle legal Invoice documentation and associated exceptions.
· Maintenance of outside counsel database and consultant’s time approval.
· Information security assessment for law firms and other vendors.
· Co-ordinate with legal and compliance employees for entitlement related reviews and associated procedures.
What We Look For
· Track record of academic excellence.
· Outstanding academic record with success in extracurricular activities, along with strong communication skills and the ability to work and interact with others.
· Strong attention to detail and the ability to manage competing priorities.
· Excellent written and verbal communication skills.
· Ability to analyze and synthesize variety of data to produce well-designed and meaningful summaries and reports.
· Adept at solving problems and developing efficient processes.
· Experience in MS office preferably Excel.
To apply for this job please visit morganstanley.tal.net.