Global Compliance, Associate, Oversight, Monitoring and Testing
Morgan Stanley · Mumbai, India · 1mo ago
We're seeking someone to join our team as a Associate in the Legal and Compliance division.
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is a Associate level position within the Oversight, Monitoring and Testing.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review
Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary
Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate
Assist in finding trends and patterns of high-risk clients/ traders, by analyzing their trading activities
Creating and Presenting Management Information Packs on a periodic basis
Assist in identifying any coverage gaps, quality issues to help improve program effectiveness
Support tuning and optimization efforts to help create efficiencies
Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls
Support regulatory inquiries, regulatory inspections, internal audits by providing requested data / addressing respective queries
Assist in the delivery of surveillance related projects or initiatives
Interaction with IT
Work with IT and / or vendors in enhancing/ developing new tools.
Participate in testing/ requirement drafting of new models/reports.
What you'll bring to the role:
Industry qualifications i.e. Post Graduate / MBA in Finance / CFA or similar
Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both verbally and in writing, to stakeholders across all levels.
Strong analytical skills; experience of handling, analyzing and presenting large data sets to identify exceptions or anomalies
Proven ability to develop rapport and promote effective 2-way communication with colleagues in global offices, fostering trust and an environment which supports development and constructive feedback.
Problem solving abilities with capability to independently work under pressure.
Understanding the implications of risk involved.
Strong Analytical Skills and attention to detail
Experience interpreting laws or regulations
Knowledge of market data vendors (e.g. Bloomberg, Reuters Eikon)
Knowledge / Use of analytical tools like Tableau/SQL to query large data sets
Understanding of new technologies like Machine Learning, AI, etc.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients – helping them reach their goals. We do it in a way that’s differentiated – and we’ve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren’t just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. 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. There’s also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
Morgan Stanley is an equal opportunity employer committed to building and maintaining a workforce that is diverse in experience and background. Our recruiting efforts reflect our strong commitment to a culture of inclusion, where individuals are hired, developed, and advanced based on their skills and talents.
Our workforce reflects a broad cross-section of the global communities in which we operate, bringing a variety of backgrounds, talents, perspectives, and experiences.
For more information, please visit: https://www.morganstanley.com/people-opportunities/eeo.