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Job Details

Non-Market Risk Manager

Company name
Morgan Stanley

New York City, NY

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Non-Market Risk Manager


Asset Management

Risk Type:



Risk Manager


JOB DESCRIPTION-Non-Market Risk Manager


Institutional Equity Division New York, Non-Market Risk Manager, Associate

Location: 1585 Broadway, New York, New York Education: Bachelor's Degree required

Position Category: Equities Sales & Trading

Position Type: Full-Time

Group Summary

The Firm's Equity Sales & Trading Division provides liquidity, distributes content, and creates product solutions to help service our clients. Non-Market Risk Managers within the Institutional Equity Division (IED) of Morgan Stanley focus on supporting the Division in a variety of capacities including implementation of regulatory reform, updates to technologies and processes to meet business needs and liaising with Legal, Compliance, Operations, Finance and other Firm functions that support the Equity business.


The available position is an Associate level position within IED Risk Management, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory program and information security platform for IED. The individual will be required to work with senior members of the businesses and associated control functions, such as Legal, Compliance and Technology Risk. The individual will be responsible for reviewing IED sales and trading desk activities to ensure compliance with applicable rules and regulations governing the Firm, as well as adherence to internal standards, controls and policies.

Training will be provided as needed. *LI-NF1


Job Responsibilities include:

• Reviewing sales and trading exception reports on a daily basis and maintaining records relating to these reviews. Some examples include Best Execution, Manning and Frontrunning;

• Interacting with IED supervisors and, when necessary, traders and sales people with regard to supervisory issues, exceptions and obtaining sign-offs;

• Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist;

• Leading and participating in projects related to the supervisory platform and the information security program;

• Helping ensure that IED sales and trading activities satisfy all pertinent legal, regulatory and Firm requirements;

• Reviewing and interpreting Firm as well as IED-specific policies and procedures for the business;

• Identifying, designing and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment;

• Establishing relationships and working closely with IED supervisors, IED Risk Management, Technology, Operations and Compliance;

• Providing application approvals and performing reviews of various applications owned and accessed by IED sales and trading desks.

Required Skills

• 2-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues

• Strong motivation to be a self-starter with a positive outlook and desire to solve problems

• Strong analytical skills with an ability to understand complex workflows

• Exceptional organizational skills and a high degree of attention to detail

• Ability to identify and escalate issues effectively and appropriately

• Solid understanding of applicable regulatory rules and regulations

• Ability to handle multiple tasks in a timely and effective manner and thrive in a fast-paced environment that lends itself to changing priorities and quick turnaround

• Proven ability to take ideas forward and to challenge others with integrity and maturity

• Strong project management skills

• Excellent and concise oral and written communication skills across various levels of seniority in an organization demonstrated 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

• Proficiency in MS Office and related applications (Word, Excel, PowerPoint, Project)

• Background/experience in and/or interest in business, finance and IED products

Employment Type:

Full Time


Americas, United States


New York


New York


Post Date:


Company info

Morgan Stanley
Website :

Company Profile
Morgan Stanley, a financial holding company, provides various financial products and services to corporations, governments, financial institutions, and individuals worldwide. The company’s 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 company’s 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.

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