What are the responsibilities and job description for the Other (Legal and Compliance) : Job Level - Analyst position at Morgan Stanley?
Division: Legal & Compliance (LCD)
Super - Department: Compliance
Department: Surveillance
Sub-Department: Wealth Management Surveillance
Region: Global
Job Level: Analyst / Associate
Job Title: Analyst / Associate
Employment Type: Full Time
Location: Mumbai (Oberoi Commerz-III)
Firm
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.
Division
LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirement, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide 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.
Team: Surveillance
The Surveillance team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Financial Advisors / Fund Managers / Traders / Institutional Clients.
Examples Of Patterns Captured In The Reports Are
Insider Trading
Ramping
Front Running Etc. Primary Responsibilities (Day Job)
The WM Surveillance Analyst / Associate will have several areas of responsibility including, but not limited to, the following:
Review and analyze trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities,
conduct investigations on irregularities and abnormal activities and document findings,
participate in defining and documenting the operating processes for Monitoring reports,
create Management Information Reports on a periodic basis,
escalate unresolved issues or potential violations of Morgan Stanley's policies or external rules and regulations to their manager, Coverage Compliance and Senior Management of Business Units,
help the senior manager in making the team and processes more efficient.
Interaction with IT
work with IT and / or vendors in enhancing and developing new tools,
participate in testing / requirement drafting of new models and reports.
Requirements
Experience
0-6 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.
Knowledge
Possess excellent knowledge of financial instruments and markets,
basic understanding and knowledge of trading mechanisms across different financial instruments / markets,
possess knowledge of trade booking and settlements.
Skills and Qualities
Industry Qualifications I.e. Post Graduate / MBA In Finance,
knowledge of global markets / market regulations,
up to 12 months experience in a similar profile/industry desirable,
understanding the implications of risk/s involved,
excellent verbal and written English communication skills - ability to effectively correspond with various groups and senior professionals over email and phone,
strong analytical skills and attention to detail,
experience interpreting laws or regulations,
must be able to maintain a high level of organization under pressure.
Coverage
Monday to Friday from 09:00AM to 06:00PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.
Coverage for Audit Jobs
Super - Department: Compliance
Department: Surveillance
Sub-Department: Wealth Management Surveillance
Region: Global
Job Level: Analyst / Associate
Job Title: Analyst / Associate
Employment Type: Full Time
Location: Mumbai (Oberoi Commerz-III)
Firm
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.
Division
LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirement, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide 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.
Team: Surveillance
The Surveillance team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Financial Advisors / Fund Managers / Traders / Institutional Clients.
Examples Of Patterns Captured In The Reports Are
Insider Trading
Ramping
Front Running Etc. Primary Responsibilities (Day Job)
The WM Surveillance Analyst / Associate will have several areas of responsibility including, but not limited to, the following:
Review and analyze trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities,
conduct investigations on irregularities and abnormal activities and document findings,
participate in defining and documenting the operating processes for Monitoring reports,
create Management Information Reports on a periodic basis,
escalate unresolved issues or potential violations of Morgan Stanley's policies or external rules and regulations to their manager, Coverage Compliance and Senior Management of Business Units,
help the senior manager in making the team and processes more efficient.
Interaction with IT
work with IT and / or vendors in enhancing and developing new tools,
participate in testing / requirement drafting of new models and reports.
Requirements
Experience
0-6 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.
Knowledge
Possess excellent knowledge of financial instruments and markets,
basic understanding and knowledge of trading mechanisms across different financial instruments / markets,
possess knowledge of trade booking and settlements.
Skills and Qualities
Industry Qualifications I.e. Post Graduate / MBA In Finance,
knowledge of global markets / market regulations,
up to 12 months experience in a similar profile/industry desirable,
understanding the implications of risk/s involved,
excellent verbal and written English communication skills - ability to effectively correspond with various groups and senior professionals over email and phone,
strong analytical skills and attention to detail,
experience interpreting laws or regulations,
must be able to maintain a high level of organization under pressure.
Coverage
Monday to Friday from 09:00AM to 06:00PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximise their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing and advancing individuals based on their skills and talents.
What You Can Expect From Morgan Stanley
We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry.
We're committed to bringing passion and customer focus to the business.
Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.
Coverage for Audit Jobs
- Monday to Friday from 12:00PM to 9:00PM India time with flexibility on standard working hours for time sensitive matters.
- Periodic evening calls with US and EMEA Internal Auditors and auditees.
