Director - Compliance Professional (Legal and Compliance)

Department Profile

Professionals within Legal and Compliance Division (LCD), provide a wide range of services to our business units. They help in structuring complex and sensitive cross-border transactions; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the Firm s invaluable reputation for integrity and protect the Firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain co-operative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm s businesses.

Background of the role

We are looking at hiring an experienced and high caliber individual to join the India Compliance team. This team provides compliance coverage to all of the Firm s businesses based in India. The candidate will be based in Mumbai.

The candidate will be supporting the India business across multiple Business Units (BUs) such as:

Investment Management (IM) MSIM has a SEBI licensed Alternative Investment Fund (AIF) with an Investment Management entity in India. MSIM is exploring a business opportunity to set up a new fund in Mumbai and in GIFT City. The candidate shall provide compliance support to the IM division which includes advising and implementing SEBI regulations / guidelines for Alternative Investment Fund (AIF), IFSCA guidelines for Fund Management Entity (FME) and the fund(s) set up in GIFT City and SEBI s guidelines for Foreign Portfolio Investors (FPI).

Fixed Income Division (FID) MS FID has a RBI licensed Standalone Primary Dealer (SPD) in India which is classified as Middle-Layer NBFC (NBFC-ML). The main activities of the PD are dealing in government securities (in the primary and secondary market), corporate bonds, currency derivatives, interest rate derivatives and foreign exchange products under the Authorized Dealer (AD) license. The candidate shall provide compliance support to the FID which includes advising and implementing the regulations / guidelines issued by RBI, CCIL, FEDAI, FIMMDA, etc. as applicable to SPDs / NBFC-ML and Authorised Dealers.

The candidate shall also provide compliance support to other BUs in India such as Investment Banking Division / Global Capital Markets (IBD/GCM), Institutional Equities Division (IED) and Research, which are carried out under the Merchant Banking, Stock Broking and Research Analyst license granted by SEBI.

Duties shall include:

Skills required (essential)