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Associate - Employee Trading and Investing

Morgan Stanley Advantage Services Pvt. Ltd.

Job 3 - 5 years Fill 66 Mumbai (Maharashtra)
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 Firms 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 Stanleys 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 Stanleys Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy. Qualifications Team: Employee Trading and Investing Activities Employee Trading and Investing is a global team across New York, London, Tokyo and Hong Kong The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to the onshore teams Primary Responsibilities (Day Job) Provide advice and guidance to employees on their investing and outside activities Make sure Account related documentation is complete Review employee personal account trades Requirements Experience The ideal candidate should have 3 to 5 years of experience preferably with experience in Financial industry Knowledge Basic understanding of regulatory regime in different jurisdictions Basic understanding of financial markets and products Basic understanding of the employee Personal Account Dealing requirements prescribed by various regulatory regimes Should be comfortable working with technology and the ability to provide solutions to enhance system efficiency Skills and Qualities Industry qualifications i.e. Graduate /Post Graduate / MBA Understanding the implications of risk involved Strong Analytical and Communication skills Attention to detail Coverage Monday to Friday from 12:30 PM to 9:30PM Periodic evening calls with US and EMEA internal clients
Morgan Stanley mobilizes capital to help governments, corporations, institutions and individuals around the world achieve their financial goals. For over 75 years, the firms reputation for using innovative thinking to solve complex problems has been well earned and rarely matched. A consistent industry leader throughout decades of dramatic change in modern finance, Morgan Stanley will continue to break new ground in advising, serving and providing new opportunities for its clients.Morgan Stanley is committed to maintaining the first-class service and high standard of excellence that have always defined the firm. At its foundation are five core values putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back that guide its more than 60,000 employees in 1,200 offices across 42 countries.

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