Electronic Communication Surveillance - Analyst / Associate

Job description

LCD comprises 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 the Firm and LCD strategy.

Morgan Stanley supervises certain electronic communications on a global basis to comply with regulatory obligations and for purposes of general operational risk mitigation. The Mumbai Compliance team performs a supervisory sample-based oversight in line with the firm’s Electronic Communications Supervision Review Guidance.

Responsibilities

• There will be several areas of responsibilities including, but not limited to, following
• Review and sign off communication-related to employee activities.
• Conduct investigations on irregularities and abnormal activities and document findings.
• Participate in updating the operating procedure.
• Create Management Information Reports periodically.
• Escalate unresolved issues or potential violations of Morgan Stanley’s policies or external rules and regulations to his/her Manager, Coverage Compliance, and Senior Management of Business Units.

Interaction with IT

• Work with IT and/or vendors in enhancing/ developing new tools.
• Participate in testing/ requirement drafting of new models/reports and requirements.

Experience

• 0 -6 years of relevant working experience in the financial services industry in Compliance or internal auditor with a securities exchange or securities regulator.
• Preference will be given to candidates with relevant experience in Electronic Communication Surveillance.

Knowledge

• Possess excellent knowledge of financial instruments and markets.
• Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets.

Qualifications

Skills and qualities

• Industry qualifications i.e. Post Graduate / MBA in Finance.
• Knowledge of global markets/market regulations.
• Desirable 12 months of experience in a similar profile/industry.
• Understanding the implications of risk involved.
• Excellent verbal and written English communication skills and ability to effectively correspond with various groups and senior professionals over email and the telephone.
• Strong Analytical Skills and attention to detail.
• Experience interpreting laws or regulations.
• Knowledge of trade booking and settlements.
• Must be able to maintain a high level of the organization under pressure.

Coverage

Monday to Friday from 09:00 AM to 6:00 PM India time with flexibility on standard working hours for time-sensitive matters (including India Public Holidays).