Central Review Unit Trade Analyst','3100336','Oct 27, 2017','Americas-United States of America-Utah-South Jordan','Bachelor's Degree','Bachelor's Degree','Wealth Management','Full Time','Full Time','Associate','Associate','!*!Trade Analyst
The TA is responsible for the supervision of daily trade blotters of the Retail Branch Office System. Act as a guardian of the firm by providing a check and balance for trading-related issues of Retail Branch Office System.
The primary responsibility of the TA is the supervision of Daily Trade Activity, through the review of the Retail Branch Trade Blotter, and Daily trade alerts.
Escalate items that demonstrate deficiencies in the adherence to rules and regulations pertaining to but not limited to the following:
· Trading ahead
· Time and price discretion
· Daily trading alerts
· Discretionary option trading
· Custodial Accounts
· Employee/Employee Related Trading
· Stock Option Plan accounts
The TA will also be responsible for ongoing interaction with the Local Supervision Teams to provide and receive feedback on personnel changes, and provide any trending updates.
The TA will participate in regular strategy meetings to review new policies and regulations to develop robust and substantial reviews of the trade blotter.','!*!Knowledge, Skills, and Abilities
· Knowledge of SEC, Exchange and Firm Compliance Policies
· Effective written and verbal communication skills
· Strong attention to detail
· Ability to interact with Management
· Ability to thoroughly investigate and problem solve
· Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies
· Ability to see an assignment through from conception through completion
· Ability to organize and prioritize work and meet deadlines
3 or more years of industry experience
Bachelor’s degree or equivalent education or experience
Licenses and Registrations:
Active Series 7, 8 (or 9 and 10), 66 (or 65 and 63) Registrations. Willing to sit for Series 3 Exam
Morgan Stanley Wealth Management
EEO committed to diversifying its workforce','Central Review Unit Trade Analyst
Website : http://www.morganstanley.com/
Morgan Stanley, a financial holding company, provides various financial products and services to corporations, governments, financial institutions, and individuals worldwide. The companys Institutional Securities segment offers financial advisory services on mergers and acquisitions, divestitures, joint ventures, corporate restructurings, recapitalizations, spin-offs, exchange offers, leveraged buyouts, takeover defenses, and shareholder relations, as well as provides capital raising and corporate lending services. This segment is also engaged in sales, trading, financing, and market-making activities, including institutional equity, fixed income and commodities, research, and investment activities, as well as offers financing services, such as prime brokerage, consolidated clearance, settlement, custody, financing, and portfolio reporting services. Its Wealth Management segment provides brokerage and investment advisory services covering various types of investments comprising equities, options, futures, foreign currencies, precious metals, fixed income securities, mutual funds, structured products, alternative investments, unit investment trusts, managed futures, separately managed accounts, and mutual fund asset allocation programs. This segment also offers education savings programs, financial and wealth planning services, annuity and other insurance products, cash management services, trust and fiduciary services, retirement solutions, and credit and other lending products, as well as fixed income principal trading services. The companys Investment Management segment provides alternative investment products, such as hedge funds, private equity and real estate funds, and portable alpha strategies to institutional and intermediary channels, and high net worth clients, as well as is involved in real estate investing and merchant banking businesses. Morgan Stanley was founded in 1935 and is headquartered in New York, New York.