Hong Kong - Risk Control Group (RCG) Analyst Hong Kong - Risk Control Group (RCG) Analyst …

Morgan Stanley
in Hong Kong
Permanent, Full time
Last application, 23 Jul 21
Competitive
Morgan Stanley
in Hong Kong
Permanent, Full time
Last application, 23 Jul 21
Competitive
Hong Kong - Risk Control Group (RCG) Analyst

Position Description

The Risk Control Group (RCG) provides oversight of regulatory and firm requirements for supervision, Surveillance, entitlements, information security and supplier risk programs by performing in-depth assessments and implementing consistent programmatic coverage globally for Fixed Income, Commodities, Bank Resource Management and Institutional Equity. The team seeks to ensure front-office compliance with all applicable rules and regulations governing the firm, as well as adherence to internal standards, controls and policies. RCG members are part of the S&T Non-Market Risk structure.

The RCG team fulfills a front office advisory role as the first line of defense. The scope includes escalation, oversight, project execution, control ownership and is the default owner for many division-wide audit and regulatory issues. RCG employees act as a delegate for supervisors and other business owners.

RCG is looking for an analyst to support projects and day-to-day tasks as applicable.

Key Roles and Responsibilities
  • Servicing the Sales and traders to apply the risk control framework.
  • Review of system entitlements and analyzing appropriate access.
  • Providing local support and oversight of outsourced processes and ensuring data accuracy.
  • Manage escalations on Non-Market Abuse (NMA) trade surveillance.
  • Manage and deliver region specific and firm-wide Risk change programs.
  • Build strong relationships with Business, Compliance and Technology stakeholders across the region to drive continuous improvement on Risk governance.
  • Promote risk education and awareness and provide management summaries as appropriate
  • Engaging with Sales and Trading contacts and other stakeholders to build awareness of RCG’s continued focus on proactive and effective surveillance and supervision.
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