Compliance Professional (Legal and Compliance)

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, requirements 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 Firms 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 Stanleys 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 Stanleys 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: *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.
Should 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
Desirable 12 months experience in a similar profile/industry.
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
Knowledge of trade booking and settlements
Must be able to maintain a high level of organization under pressure

Coverage

Monday to Friday from 09:00AM to 6:00PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)