We are seeking someone to join our team as an Associate in Legal & 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 Associate level position within the Coverage Advisory team. This team identifies and manages compliance, financial crimes and operational risk considerations associated with a particular business, product region, country, global center of material operating entity.
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
- Provide support for ISG Sales and Trading Compliance, focusing on the evaluation of and controls for Client Risk
- Support ISG Sales and Trading Compliance in conducting their challenge function and their participation in client risk related governance processes, including Client Selection Committees
- Review and evaluate materials provided to Committee members and support Compliance coverage quorum members in their committee responsibilities. Such support can include review of Client background and strategy, due diligence reports
- Provide support related to relevant Committee procedures, related regulations, and applicable internal policies
- Demonstrate ability to effectively review and analyze complex situations and apply judgment to inform escalation of potential issues to Compliance coverage colleagues in a timely manner with minimal supervision
- Be proficient in time management, have the ability to develop and follow procedures, and perform compliance due diligence reviews
- Assist with activities relating to cross functional teams in Mumbai and other activities assigned
What You'll Bring To The Role
- Bachelor's degree (or equivalent) required
- 2+ years in related compliance, legal, or regulatory experience
- Candidate should demonstrate an interest in financial regulation, including securities and banking regulations; experience with sales and trading including institutional equity and fixed income market instruments, would be advantageous
- Good understanding of the financial products, industry and regulatory bodies
- Strong verbal and written communications skills
- Proficiency in Microsoft Office
- Candidate must demonstrate ability to effectively review and analyze data/situations and apply judgment to resolve or escalate issues in a timely manner
- Candidate should be proficient in time management and able to initiate and manage projects
Coverage
- Monday to Friday from 11:30 AM to 8:30 PM. Coverage is dependent on business needs so flexibility on required finish time or full day's coverage may be required during some Indian 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.
