Compliance Testing - WM Branch, Associate, Oversight, Monitoring and Testing

Morgan Stanley; Mumbai; On-site; INR 800,000 - 1,200,000; Full time

Job summary

Morgan Stanley is seeking an Associate in the Legal and Compliance division in Mumbai. This role involves supporting the onshore corporate secretarial team and managing legal, regulatory, and franchise risk. You will organize data for compliance audits and assist with automation and process improvements.

The ideal candidate has at least 2 years of relevant experience, excellent communication skills, and proficiency in MS Office. A basic understanding of financial markets is preferred. Coverage is Monday to Friday with some flexibility required.

Qualifications

• At least 2 years of relevant experience.
• Excellent oral and written communication skills.
• Excellent time management skills and ability to execute tasks within tight deadlines.

Responsibilities

• Organize data utilized in testing conducted by the Branch Examiners.
• Assist with the rollout and certification of Compliance questionnaires.
• Coordinate with different stakeholders and ensure deliverables are met on time.

Skills

Oral and written communication skills

Time management

MS Office Suite proficiency

Detail-oriented

Data analysis

Job description

We're seeking an Associate in the Legal and Compliance division. This team supports the onshore corporate secretarial team and helps the firm manage legal, regulatory, and franchise risk. The role is a level Associate within the Oversight, Monitoring and Testing team.

Responsibilities

• Access various Firm systems and ad-hoc reports to organize data utilized in testing conducted by the Branch Examiners.
• Organize data into standardized formats as described in the Branch Examinations procedures.
• Assist with the rollout, extraction and certification of Compliance questionnaires completed by all WM branch personnel on an annual basis.
• Respond to inquiries from Examiners and Branch Examinations management.
• Assist with automation of manual activities, innovation for process improvements.
• Coordinate with different stakeholders and ensure deliverables are met on time.

Qualifications

• At least 2 years’ relevant experience would generally be expected to find the skills required for this role.
• Excellent oral and written communication skills.
• Excellent time management skills and ability to execute tasks within tight deadlines.
• Proficient in MS Office Suite and ability to use various internet applications and tools.
• Detail-oriented with the ability to multi-task.
• Ability to facilitate meetings among stakeholders with diverse points of view.
• Ability to perform data analysis.

Desired Skills

• Basic understanding of financial markets is essential.
• Ability to effectively handle a fast paced environment and successfully meet established deadline requirements.
• Ability to research and resolve issues independently while working across teams to acquire information.
• Self-motivated and able to work independently.
• Knowledge of global markets and market regulations.

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.

Equal Opportunity Statement

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.