Institutional Equities Division – Regulatory Control Group – Vice President/ Senior Associate

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 21 Oct 18

Institutional Equities Division – Regulatory Control Group – Vice President/ Senior Associate

Organization: CCH-94000 - [Institutional Equity Division]
Primary Location: Americas-United States of America-New York-New York-1585 Broadway - [1585]
Education Level: Bachelor's Degree
Job: Risk Management
Employment Type: Full Time
Job Level: Vice President or Senior Associate
Job Title: Institutional Equities Division - Regulatory Control Group - Vice President/ Senior Associate

The position available is a Vice President/ Senior Associate level position within the Institutional Equity Risk Management team. Part of the team is responsible for the data governance and information security platform for the Institutional Equity Division (IED), which includes data governance and strategy, entitlements, data leakage and cyber security. The individual will be required to work with senior members of the IED and Research businesses and associated control functions, such as Legal, Compliance and Technology Information Risk. The individual will be responsible for strategically driving the data strategy and information security program for IED as well as ensuring compliance with applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies.


Responsibilities Include:
• Helping define and drive the data governance / data strategy framework for IED Global, which includes overall governance, client strategy, internal data solutions and platform
• Working with Sales, Trading, Prime Brokerage and Research on building out the division's alternative data vendor eco-system, along with necessary reviews, governance, etc.
• Liaising with Senior Management and desk heads to evaluate external and internal requests for IED and Research datasets
• Developing and executing on data solutions for clients by liaising with Sales, Strats, Research and Technology
• Creating internal efficiencies for how data is used within IED, which includes building new processes, functionality or systems
• Driving the implementation of the data leakage strategy for Sales and Trading globally
• Representing the BU in Firmwide working groups related to entitlements and data leakage, and advocating for practical solutions to solve the BU's unique challenges;
• Developing business requirements documents and procedures for strategic initiatives;
• Managing key entitlements initiatives and projects related to transfers, vendor applications, segregation of duties, cyclical and ad hoc entitlements reviews;
• Opining on the effectiveness of existing entitlements processes and addressing gaps or building new processes where required;
• Acting as a contact point for requests / escalations from the BU;
• Acting as an escalation point for approvals, provisioning and reviews of various applications owned and accessed by IED;
• Engaging the global IED Risk to focus on and deliver increased automation and standardization across applicable processes;
• Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;
• Identifying opportunities for process efficiencies and implementing corresponding solutions within the team as well as teams external to IED Risk;

• Establishing relationships and work closely with IED supervisors, IED Risk, Technology, Operations, Finance, and Compliance.
Experience / Skills Required:
• 5+ years with a background in Risk Management, Information Security, Entitlements and / or Trading Support focusing on sales and trading issues
• Effective leadership skills
• Strong motivation, be a self-starter with a positive outlook and desire to solve problems - creative thinking and problem solving skills
• Strong analytical skills with an ability to understand complex workflows
• Strong communication skills with an ability to speak to Senior Management
• Ability to identify and escalate issues effectively and appropriately
• Exceptional organizational skills and a high degree of attention to detail
• Solid understanding of applicable regulatory rules and regulations
• Strong project management skills and proven ability to move projects through to completion
• Ability to discuss in-depth technology initiatives and ability to work closely with technology teams
• Excellent oral and written communication skills by clearly articulating 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 handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment
• Proven ability to take ideas forward and to challenge others with integrity and maturity
• Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)