ISG Data Governance; Info Management; Privacy - Sr Associate / Manager

ISG Management

We're seeking someone to join our team in Institutional Securities Group Management

Institutional Securities provides products and services to corporations, governments, financial institutions and ultra-high net worth clients. Investment banking services consist of capital raising and financial advisory services, including underwriting of debt, equity and other securities, and advice on mergers and acquisitions, restructurings and project finance.

Our Equity and Fixed Income businesses include sales, financing, prime brokerage, market-making, Asia wealth management and certain business-related investments. Lending activities include originating corporate loans and commercial real estate loans, providing secured lending facilities, and extending securities-based and other financing to customers. Other activities include research.

We are the Non-Financial (NFR) group within the Institutional Securities Group (ISG) management function. NFR is responsible for managing several non-financial risks across ISG, including but not limited to Compliance, Supervision, Conduct, Client and Product Risk. As an in-business risk management team, we partner with our ISG business stakeholders, as well as the technology groups and 2nd line control functions to understand business needs and their associated risks, execute on practical solutions, and maintain a global governance, monitoring, communication, and awareness strategy that underscores a culture control excellence. Our team has a global presence with members located in New York, London, Mumbai, and Hong Kong

Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world

Primary Responsibilities

Data Governance Info Management; Privacy

• Collaborating with desk heads, Technology and Operational Risk on defining the Sensitive Data Security Program, which includes the implementation of cataloging and other key controls
• Establishing and performing BAU activities for Privacy related governance processes.
• Developing business requirements and procedures for strategic initiatives under Information Management program.
• Defining detailed requirements and providing overall project management of workflow and platform capabilities front to back, from a client interface to internal Morgan Stanley workflows, product inventories, entitlements systems, APIs, legal requirements etc.,
• Creating internal efficiencies for how data is used & managed within ISG, which includes building new processes, functionality and systems.
• Creating a framework for managing client requests by making processes more efficient and building technology with support organizations to maintain it;
• Engaging global ISG Business Control Unit (BCU) to focus on and deliver increased automation and standardization across applicable processes.
• Improving and monitoring existing data related control frameworks and / or creating new control frameworks if none exist.
• Identifying opportunities for process efficiencies and implementing corresponding solutions within the team as well as teams external to IDG.
• Establishing relationships and work closely with IDG supervisors, ISG BURM, Technology, Operations, Finance, and Compliance.
• Perform day to day tasks of providing exceptions to users that deviates from the policy post due diligence

• Risk Projects
  
  • Lead Risk projects, related to the supervisory platform and the information security program
  • Developing business requirements documents and procedures for strategic initiatives
  • Identifying and driving various efficiency and productivity initiatives for the team

• Chartered Accountant or MBA
• 4 -7 years with a background in Data Privacy governance, Information Management, Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues
• Ability to work independently
• Exceptional organizational skills and high degree of attention to detail
• Excellent oral and written communication skills
• 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)
• Product knowledge of Equities, FID and or Derivative products will be an added advantage
• Project Management - ability to scope, plan, and execute projects
• Ability to build & maintain credible relationships