Analyst - Client Onboarding & Regulatory Services - New Client/New Business
Job Number: 3223808
POSTING DATE: Sep 15, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Karnataka-Bengaluru
EDUCATION LEVEL: Bachelor's Degree
JOB: Other
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Analyst
DESCRIPTION
Team Profile:
Market Regs Client Onboarding and Regulatory Services (CORS) is an Operations group within Institutional securities group product operations (ISGPO) that is responsible for adherence to client regulatory requirements during the life of the client's relationship with Morgan Stanley. This includes market regulations such as MIFID, QIB, QFC, Dodd Frank, EMIR, HKPI, etc.
The team is comprised of regulatory SMEs that provide support and regulatory control to global Business Units and stakeholders. The teams work on cross-functional projects in support of changed or new regulations, processes and controls that have an impact across the Firm coordinating with Legal, Compliance, Central Change and Technology.
The Market Regs New Client New Business team is responsible for maintaining, reviewing, processing, and reporting regulatory programs; ensuring the data and documentation required is collected for new clients or existing clients extending their business relationship with Morgan into new products/jurisdictions.
Market Regs have a global footprint with offices in Hong Kong, Bangalore, Mumbai and Australia.
Our mission is to serve our clients by delivering effective and efficient Regulatory Services at a high level of quality and control, while striving for continuous innovative improvements that will reduce the Firm's total operating expenses.
ROLE DESCRIPTION:
We are looking for an Associate to join our CRS team in Bangalore. This position will support the Firm's Equities, Fixed Income, Investment Banking, Investment Management businesses.
NCNB: The New Client New Business team is responsible for maintaining, reviewing, processing, and reporting on both AML and Non-AML regulatory programs; ensuring the data and documentation required is collected for new clients or existing clients extending their business relationship with Morgan into new products/jurisdictions.
Regulatory Refresh: The Regulatory Refresh team is responsible for completing the AML/KYC Periodic Reviews of our clients based on their jurisdictions and AML Risk to the firm
Responsibilities:
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