Compliance Monitoring, Associate, Oversight, Monitoring and Testing

We're seeking someone to join our Legal and Compliance division to support our Oversight and Monitoring team.

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.
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:

• Analysis of regulations and internal policies/rules for each monitoring topic

• Extracting data from multiple sources, organizing it in a standardized format, and conducting a meaningful analysis

• Assist in developing and executing Monitoring Checks in line with global monitoring and testing standards.

• Ensuring detailed documentation of monitoring work papers

• Drafting reports on monitoring completed using global templates

• Track and promptly update progress of testing/monitoring plan reviews and other activities

• Assist with follow-ups and track status of coming due actionable items

• Ensure records are maintained accurately and updated within required timelines

• Collation and analysis of Management information (MI) - Ability to analyze and interpret various data points which depict Testing (Audit) review annual plan status, Monitoring Check status and issues and action plan status

• Create and analyze various MI and metrics to help identify and quantify risk within the Compliance function, various Business Units, Infrastructure functions, and Firm Management

• Work on ad-hoc senior management requests and prepare senior management presentations

• Assist in performing follow-ups and closing overdue issues

• Communicate effectively with management and staff, both locally and overseas

• Ensuring detailed and self-explanatory deliverable

• On-going communication with senior management and other stakeholders to discuss status and results of testing(audit) reviews and monitoring audits (checks)

What you'll bring to the role:

• At least 2+ years' working experience, preferably in professional services or financial services

• Experience of performing Compliance activities or audit reviews. Experience in Compliance Testing, monitoring or Internal Audits

• Experience in interpreting laws or regulations

• Excellent relationship building and stakeholder management skills

• Strong attention to detail

• Ability to communicate issues and come up with pragmatic proposals

• Confident self-starter and proactive approach to problem solving

• Ability to remain focused under pressure and prioritize workloads

• Able to work both as a team player as well as independently

• Sound judgement and ability to effectively respond to issues and escalate appropriately

• Strong proficiency in Excel, Word, SharePoint, and PPT

• 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

• Due to the multi-tasking nature of the role, the candidate should be able to prioritise workload and meet deadlines

Coverage

• Monday to Friday from 11:30AM to 8:30PM. 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 that’s differentiated – and we’ve 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 - aren’t 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, you’ll 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. There’s 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 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.