Analyst | Employee Trading and Investing |Legal and Compliance|

Analyst - Employee Trading and Investing (Legal and Compliance)
Job Number:

323+708

POSTING DATE: Jul 28, 2024
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Bachelor's Degree
JOB: Compliance
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Analyst
DESCRIPTION

Job Description

Division: Legal & Compliance (LCD)
Super - Department: Global Compliance
Department: Information Controls
Sub-Department: Employee Trading and Investing
Region: Global
Job Level: Analyst
Job Title: Employee Trading and Investing Analyst
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)

Firm

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Division

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 Firm's 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 Stanley's 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 Stanley's 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 0 to 2 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 + AM to 6 PM
> Periodic evening calls with US and EMEA internal clients