Associate - Im Surveillance (Legal and Compliance) - Mumbai, India - Morgan Stanley

Morgan Stanley

Verified Company

Mumbai, India

2 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Associate - IM Surveillance (Legal and Compliance)

Job Number:
3244681

POSTING DATE:
Nov 29, 2023

PRIMARY LOCATION:
Non-Japan Asia-India-Maharashtra-Mumbai (MSA)

EDUCATION LEVEL:
Refer to Position Description

JOB:
Other

EMPLOYMENT TYPE:
Full Time

JOB LEVEL:
Associate

DESCRIPTION

Job Description:

Division:
Legal & Compliance (LCD)

Super - Department:
Compliance

Department:
Surveillance

Sub-Department:
Investment Management/ Sales & Trading Surveillance/ Wealth Management

Region:
Global

Job Level:
Analyst/ Associate

Job Title:
Analyst/ Associate

Employment Type:
Full Time

Location:
Mumbai (Nirlon Knowledge Park)

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 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 monitors for potential market abuse or other misconduct across the Firm's businesses (investment banking, securities, investment management and wealth management).

Examples of patterns captured in the reports are:
Insider Trading

Ramping

Front Running etc.

QUALIFICATIONS

Primary Responsibilities (Day Job)

This role primarily focuses on MSIM (Morgan Stanley Investment Management), with potential future opportunity to cover other Morgan Stanley businesses (e.g., institutional securities).

The Surveillance Analyst will have several areas of responsibility including, but not limited to, 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 processing Monitoring reports;
Help the senior manager in making the team and processes more efficient;
Identify opportunities to enhance and optimize surveillance controls;
Create Management Information Reports on a periodic basis;

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 Business Units.

Interaction with IT
Work with IT and / or vendors in enhancing/ developing new tools;
Participate in testing/ requirement drafting of new models/reports; and

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;

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
D