Job Description
32228
Job Description
Division: Legal & Compliance (LCD)
Super - Department: Compliance
Department: Surveillance
Sub-Department: Control Group Surveillance
Region: Global
Job Level: Analyst/Associate
Job Title: Analyst/Associate
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)
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.
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 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 Analyst/ Associate will have several areas of responsibility including, but not limited to, 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
Job Description
Division: Legal & Compliance (LCD)
Super - Department: Compliance
Department: Surveillance
Sub-Department: Control Group Surveillance
Region: Global
Job Level: Analyst/Associate
Job Title: Analyst/Associate
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)
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.
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 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 Analyst/ Associate will have several areas of responsibility including, but not limited to, 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
💡 Quick Summary
Seeking a career-building opportunity? The Analyst position is now open for candidates interested in the Bank Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.