Posted 3 days ago
No clicks
**Compliance Testing - WM Branch, Associate - Oversight, Monitoring and Testing** nuoviয়াn an Associate role within Morgan Stanley's Legal & Compliance division, supporting the onshore corporate secretarial team. This role focuses on Branch Examinations, involving data organization, compliance questionnaire management, and stakeholder coordination. Key responsibilities include accessing Firm systems and reports, organizing data, facilitating annual compliance questionnaires, responding to examiner inquiries, and assisting in process automation. Candidates with 2+ years of relevant experience, excellent communication and time management skills, proficiency in MS Office Suite, data analysis ability, and a basic understanding of financial markets are sought. This is an onshore role with flexible coverage based on business needs. At Morgan Stanley, expect a diverse, inclusive environment with a commitment to driving innovation and client success.
- Compensation
- Not specified
- City
- Not specified
- Country
- India
Currency: Not specified
Full Job Description
We're seeking someone to join our team as an Associate in the Legal and Compliance division. This team provides support services to onshore corporate secretarial team in the Legal and Compliance Division
In the Legal & Compliance division, we assist the Firm in achieving its business objectives by facilitating and overseeing the Firm's management of legal, regulatory and franchise risk. This is an Associate level position within the Oversight, Monitoring and Testing team.
Since 1935, Morgan Stanley is known as a global leader in financial services, always evolving and innovating to better serve our clients and our communities in more than 40 countries around the world.
What you'll do in the role:
The candidate will have several areas of responsibility including, but not limited to, the following:
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
Co-ordinating with different stakeholders and ensuring deliverables are met on time
What you'll bring to the role:
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 has the 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
Has the ability to perform data analysis
Skills desired
Basic understanding of financial markets is essential
Has the 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
Be self-motivated and must have the ability to work independently
Knowledge of global markets / market regulations
Basic understanding of financial markets is essential
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.
WHAT YOU CAN EXPECT FROM MORGAN STANLEY:
At Morgan Stanley, we raise, manage and allocate capital for our clients helping them reach their goals. We do it in a way thats differentiated and weve done that for 90 years. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - arent just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, youll find an opportunity to work alongside the best and the brightest, in an environment where you are supported and empowered. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. Theres also ample opportunity to move about the business for those who show passion and grit in their work.
To learn more about our offices across the globe, please copy and paste https://www.morganstanley.com/about-us/global-offices into your browser.
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.




