Division

In the Legal & Compliance division, we protect the Firm’s business by identifying risks and designing programs and policies that guide internal teams on ways to address or mitigate those outcomes.

Morgan Stanley is an industry leader in financial services, known for mobilizing capital to help governments, corporations, institutions, and individuals around the world achieve their financial goals.

At Morgan Stanley India, we support the Firm’s global businesses, with critical presence across Institutional Securities, Wealth Management, and Investment management, as well as in the Firm’s infrastructure functions of Technology, Operations, Finance, Risk Management, Legal and Corporate & Enterprise Services. Morgan Stanley has been rooted in India since 1993, with campuses in both Mumbai and Bengaluru. We empower our multi-faceted and talented teams to advance their careers and make a global impact on the business. For those who show passion and grit in their work, there’s ample opportunity to move across the businesses for those who show passion and grit in their work.

Interested in joining a team that’s eager to create, innovate and make an impact on the world? Read on…

What you’ll do in the role:

• Conducting transactional and other monitoring reviews and oversight using a variety of exception reports and automated surveillance system alerts to identify activity that may be indicative of unusual conduct, trading patterns, or potential violations of law, regulations, or internal policies
• Review and analyze trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities;
• Conduct investigations on irregularities and abnormal activities and document findings;
• Evaluating trading activity for potential insider trading and/or market manipulation
• Conducting independent reviews, re-performance and trend analysis of accounts and clients identified by supervisory alerts as warranting additional review
• Identifying and escalating any significant risks/themes identified through the course of monitoring

What you’ll bring to the role:

• 0.6 years to 3 years for Analyst, 3-5 years of total experience for Associates
• Preference will be given to candidates with relevant experience in trade activity monitoring or surveillance
• Experience interpreting laws or regulations
• Solid track record working in a professional environment

• An understanding of financial products, trading mechanisms, and systems
• Knowledge of global markets and market regulations
• Series 7, other securities or futures licenses, a plus
• Should exhibit comfort working with technology and the ability to learn and display proficiency on Firm’s systems and programs
• Proficient with MS Office (Excel proficiency is required - specific focus on Excel macros)

• Excellent verbal and written English communication skills – ability to effectively correspond with various groups and senior professionals over email and the telephone
• Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively with colleagues across regions and Business Units
• Ability to thoroughly investigate and resolve issues independently
• Ability to think and research independently, form opinions and make decisions
• Pragmatic and analytical problem-solving skills - candidate needs to consistently apply sound judgment
• Team player who can successfully manage multiple projects and priorities
• Ability to identify and recommend process efficiencies

Coverage

• Monday to Friday from 9:00 AM to 6:00 PM, or 11:30 AM to 8:30 PM India time
• India holiday coverage is dependent on business needs, so flexibility is expected

WHAT YOU CAN EXPECT FROM MORGAN STANLEY:

We are committed to maintaining the first-class service and high standard of excellence that have defined Morgan Stanley for over 85 years. At our foundation are five core values — putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back — that guide our more than 80,000 employees in 1,200 offices across 42 countries. At Morgan Stanley, you’ll find trusted colleagues, committed mentors and a culture that values diverse perspectives, individual intellect and cross-collaboration. We Firm is differentiated by the caliber of our diverse team. While our company culture and commitment to inclusion define our legacy and shape our future, helping to strengthen our business and bring value to clients around the world. Learn more about how we put this commitment to action: morganstanley.com/diversity. 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.

We're committed to bringing passion and customer focus to the business.

Morgan Stanley is an equal opportunities employer. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.