Research Risk Operations Analyst

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 23 Sep 17

Research Risk Operations Analyst

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Morgan Stanley Investment Research is uniquely committed to being an essential part of our clients' investment process. We strive to be the sell-side research provider that best understands the buy side. Through relevant and timely conversations with leading investors, we focus resources on risk-reward essentials: identifying the investor debates, assessing the potential outcomes, and uncovering the evidence our clients need to validate their investment decisions. Our equity analysts cover some 2,900 stocks; our economists, strategists and fixed income analysts cover all major regions and other asset classes around the globe.

We are seeking an entry level Analyst to work with our Research Risk Operations team in New York, NY.

The mission of the Research Risk team is to provide policy guidance and advice to Research staff; operational risk reporting and escalation to; and perform various operational, supervisory and risk management activities. The successful candidate will deliver on operational risk related projects, and developing risk metrics reporting across Equity and Fixed Income Research as well as Economics.

Principal Responsibilities
- Support the execution of operational risk functions including, but not limited to:
o Employee trade pre-clearance and statement review
o Outside business interests review
o Public appearance clearances
o E-communications surveillance
o Conflict disclosure surveillance
- Work with global colleagues to manage the successful resolution of risk issues and escalations, including identifying the root causes of the issue, ensuring accountability and establishing the right contacts and escalation points
- Produce risk metrics reporting and trend analysis for Research Supervisors and other key stakeholders
- Maintain and develop operational procedure documentation, including business continuity planning materials. Formally track and report results and work to standardize processes.
- Collaborate with Research Legal and Compliance regarding Research policies, processes and requirements
- Implement project and product roadmaps for key Research Risk tools and processes
- Other ad hoc projects as needed


- Bachelor's degree in Finance, Economics, or Business with strong academic credentials, or equivalent work experience in the financial industry.
- Highly detailed and process-oriented. Demonstrated ability to initiate and complete quality reviews, and maintain detailed checklists of activities
- Superior oral and written communication skills
- Strong interpersonal skills necessary to work collaboratively with colleagues across teams and geographies
- Project management capabilities
- Self-starter, highly motivated
- Ability to work well under pressure and manage multiple priorities and tasks with the skills to adapt to changes in a fast-paced environment
- Analytical abilities, including Microsoft Excel skills (preferred)
- Familiarity with securities markets, investment research, and industry rules or regulations enforced by SEC and FINRA beneficial
- Series 7, 24 licenses beneficial