Morgan Stanley

Morgan Stanley is hiring Associate in Mumbai

December 27, 2024
chandan

Introduction

Are you looking for a career in a globally renowned financial services firm? Morgan Stanley is hiring an Associate for its Legal & Compliance Division (LCD) in Mumbai. This role provides an exciting opportunity to contribute to the firm’s compliance and surveillance functions, ensuring adherence to internal policies and regulatory requirements. Join a supportive and inclusive work culture that values talent and integrity, helping you achieve your professional goals.

Table of Contents

Firm Overview

Morgan Stanley is a global financial services leader offering investment banking, securities, investment management, and wealth management services. With a presence in 43 countries and over 1,200 offices, Morgan Stanley’s employees drive success through integrity, excellence, and teamwork. The firm provides a strong foundation for career growth while promoting a culture of inclusion and balance.

Division Overview

The Legal & Compliance Division (LCD) is responsible for regulatory relations, global financial crime prevention, and maintaining compliance with internal and external obligations. It encompasses:

  • Legal Department: Ensures compliance with laws, regulations, and firm policies.
  • Global Compliance: Manages compliance risks across jurisdictions and business lines.
  • Global Financial Crimes: Prevents financial crimes through robust programs, including Anti-Money Laundering (AML) and Anti-Corruption.
  • Global Regulatory Relations Group (GRRG): Manages relationships with regulatory bodies globally.

Team: Surveillance

The Surveillance team ensures compliance by monitoring and analyzing reports for potential breaches of internal policies and regulatory requirements. The team identifies irregular patterns such as insider trading, front running, and other violations. They collaborate with IT and external vendors to develop and enhance monitoring tools and ensure process efficiency.

Primary Responsibilities

As an Associate in the Surveillance team, your responsibilities include:

  • Reviewing and analyzing trade surveillance reports for irregularities and compliance breaches.
  • Conducting investigations into abnormal activities and documenting findings.
  • Defining and documenting operational processes for monitoring reports.
  • Preparing Management Information Reports periodically.
  • Collaborating with IT to develop new tools and enhance surveillance models.
  • Escalating unresolved issues to senior management.

Requirements

  • Experience: 0–6 years in compliance, internal audit, or financial services. Preference for trade surveillance experience.
  • Knowledge: Familiarity with financial instruments, trading mechanisms, trade booking, and settlement processes.
  • Skills: Strong analytical skills, attention to detail, and excellent written and verbal communication in English.
  • Education: Postgraduate/MBA in Finance or equivalent qualifications.

Why Join Morgan Stanley

Morgan Stanley offers an inclusive work environment that nurtures professional growth and innovation. As part of the Surveillance team, you’ll gain exposure to global markets and regulations, develop advanced compliance skills, and work in a collaborative environment committed to excellence.

Conclusion

If you’re passionate about compliance, surveillance, and financial markets, this Associate role at Morgan Stanley is a great opportunity to advance your career. Apply today and join a global leader that values talent, integrity, and teamwork.