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Mumbai, Maharashtra, India
Onsite
We’re seeking someone to join our team as a n Analyst in 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 an Analyst 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 Control Group trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities;
Conduct investigations into 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;
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
What you'll bring to the role:
0-2 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 Control Group / Trade Surveillance
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
qualifications i.e. Post Graduate / MBA in Finance
Knowledge of global markets / market regulations
Desirable up to 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 (unless otherwise stated) India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)
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.
