Franchise Risk Officer, Research
Position Description
Principal Duties:
(a) Franchise Risk Officer
Responsibilities include:
• Franchise risk review.
• Due diligence ADR review.
• Trouble shoot/chasing notes stuck with Control Group.
• Advising Analysts on structure and content of potentially sensitive reports (MA, rumours, scenario analyses, spin offs, activism etc).
• Reviewing Teach In materials ahead of deal launches review of post IPO initiations for consistency with Teach In Deck.
• Participate in weekly risk/pipeline meeting with Control Group, Head SA, Head Editor.
• Participate in weekly management team meetings to review deal pipeline, upcoming post IPO initiations, stock coverage, status of coverage policy obligations etc.
• Participate in SSC meetings.
• Approve any PAT requests requiring ER management approval.
• Approve wall crossings.
• Review and forward materials to Analysts provided by IBD for vetting purposes.
• Prepare/maintain log of Analyst vettings in DMS.
• Annex B reviews and follow up with ResRisk team.
• Ad Hoc requests from DOR/ADR.
(b) Chief Risk Compliance Officer
Responsibilities include:
• Regional oversight and implementation of Global Research Risk plan(s), including tracking, monitoring and reporting.
• Regional oversight of operational functions including, but not limited to:
- Employee trade pre-clearance;
- Outside business interests;
- Public appearance clearances;
- Business continuity planning.
• Manage the successful resolution of risk issues in the region, including identifying the root causes of the issue, issue owners and ensuring accountability.
• Collaborate with key risk groups (Operational Risk and Internal Audit) to keep them abreast of developments in Research.
• Collaborate with regional Research Compliance to ensure that process and procedure policies are updated and communicated appropriately, and that written supervisory procedures (adhering to global regulatory standards) are in place.
• Funnel regional requests for new projects/products through the Research NPA process to ensure appropriate legal and risk vetting; identify project-related risks.
• Manage regional Compliance and Information Security training.
• Manage and review the public appearance strategy for the region, and ensure media appearances receive the appropriate legal and risk vetting.
Skills Required
• Demonstrated experience in the financial services industry.
• Working knowledge of global research regulations.
• Self-starter, highly motivated.
• Strong analytical abilities.
• Superior oral and written communication skills.
• Strong program and project management capabilities.
• Series 7, 24 licenses preferred.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential.
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