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About:
Morgan Stanley (NYSE: MS) is a leading global financial services firm providing a wide range of investment banking, securities, wealth management and investment management services. With offices in 42 countries, their firm’s employees serve clients worldwide including corporations, governments, institutions and individuals.
They are committed to maintaining the first-class service and high standard of excellence that have always defined the firm and everything they do is guided by their five core values: Do the right thing, put clients first, lead with exceptional ideas, commit to diversity and inclusion, and give back.
Role:
Associate
Area:
Trade Surveillance (Legal and Compliance)
Location:
Mumbai (Nirlon Knowledge Park)
Qualification:
- Possess excellent knowledge of financial instruments and markets
- Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets
- Should possess knowledge of trade booking and settlements
- Industry qualifications i.e. Post Graduate / MBA in Finance
- Will be required to maintain strict confidentiality of firm information
- Knowledge of global markets / market regulations
- Understanding the implications of risk involved
- Excellent verbal and written English communication skills – ability to effectively correspond with various groups and senior professionals over email and the telephone
- Strong Analytical Skills and attention to detail
- Experience interpreting laws or regulations
- Must be able to maintain a high level of organization under pressure
Experience:
- 0 – 7 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
- Preference will be given to candidates with relevant experience in Trade Surveillance/ Control Group
Responsibilities:
LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to their businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firm-wide Compliance Risk Management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
Global Financial Crimes is responsible for the development and governance of the Firm’s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.
The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Morgan Stanley’s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Morgan Stanley entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.
LCD Center of Excellence – Mumbai (LCD CoE) is a part of Morgan Stanley’s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.
The Mumbai Control Group Surveillance Team is focused on Watch List and Restricted List Surveillance of Employee, Investment Management, Wealth Management, and Principal trading activity in the context of strategic transactions the Firm is advising on, including M&A transactions and Capital Markets transactions.
The Control Group Surveillance Associate/Manager will have several areas of responsibility including, but not limited to the following:
- Review and analyze surveillance reports/ alerts
- Escalate unresolved issues or potential violations of the Morgan Stanley’s policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of the Business Unit
- Participate in defining and documenting the operating procedures for processing Monitoring reports
- Create Management Information Reports on a periodic basis
- Work with IT and / or vendors in enhancing/ developing new tools
How to apply:
Interested candidates can Apply here
We have taken all measures to ensure that this opportunity, available in the corporate domain, is uploaded/provided/given on our social media platforms, including our website, and is credible, verified and sourced from authenticated/trustable sources.
