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 3,000 stocks; our economists, strategists and fixed income analysts cover all major regions and other asset classes around the globe.
We are seeking an Analyst to work with our Research Risk Operations team in New York, NY.
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