ISG Management - Trader Mandate Governance Lead (Associate/VP) ISG Management - Trader Mandate Governance Lead  …

Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
Morgan Stanley
in New York, NY
Permanent, Full time
Be the first to apply
ISG Management - Trader Mandate Governance Lead (Associate/VP)
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's Institutional Securities Group (ISG) is a remarkably broad and diversified business. We provide institutions with almost every kind of financial product and service across the world's major markets. Whether you're interested in planning complex deals; trading on the moment-to-moment movements of the capital markets; analyzing the financial needs of a company or a wealthy family, Morgan Stanley is the place to be.
Team Profile:

We are the Cross-Divisional Governance (CDG) group within the Institutional Securities Group (ISG) management function. CDG is responsible for managing several governance processes across ISG, including: Model Control, Data Governance, Trader Mandate, Booking Model, and Trading Risk Limit Governance. As an in-business risk management team, we partner with our business stakeholders, as well as the technology groups and independent control functions to understand business needs and their associated risks, execute on practical solutions, and maintain a global governance, communication, and awareness strategy that underscores a culture of control excellence. Our team has a global presence with members located in New York, London, Budapest, Montreal, and Hong Kong.


The Global Trader Mandate Program is a key part of the Firm's Unauthorized Trading Governance Framework. As a team lead for the program, you will collaborate with stakeholders from across businesses as well as independent control groups to govern the Firm's Trader Mandate Library and control process and ensure that the program effectively mitigates unauthorized trading risk for the Firm. Responsibilities include:

- Managing the day-to-day processes and establishing strong working relationships with stakeholders across the globe to ensure consistency of framework
- Monitoring compliance with established policies and procedures, investigating and escalating issues and assisting with their resolution
- Leading key initiatives and managing the coordination across various departments to deliver results
- Identifying enhancements and prioritizing remediation projects to improve efficiency
- Partnering with IT to validate applicability of proposed solutions and to resolve issues
- Assisting in the development and implementation of Program governance through policies, and procedures and training
- Producing and developing key metrics and reports for internal and external stakeholders
- Tracking and managing audit and regulatory requirements
- Maintaining the Trader Mandate library including dormancy reviews, initiation of new mandates requests, and closure of mandates


  • Qualifications:

    - Senior Associate / VP with 4-7 years of relevant industry experience (includes consulting)
    - Excellent communication and interpersonal skills with a confidence to present to senior management
    - Sound analytical and critical thinking skills to solve problems independently
    - Attention to detail and accuracy in everyday work
    - Ability to facilitate communication within and across different functions
    - A proven track record with delivering solutions in a timely and accurate manner

    - A positive and highly motivated individual who exhibits strong leadership and management qualities
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