Job Description

Associate - Rules Management


Job Number: 3223815
POSTING DATE: Sep 14, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Bachelor's Degree
JOB: Other
EMPLOYMENT TYPE: Full Time
JOB LEVEL: Associate

DESCRIPTION


Division: Legal & Compliance (LCD)
Super - Department: AMER Rules Management and Policies
Department: [Compliance]
Sub-Department: [AMER Rules Management and Policies]
Region: [AMER]
Job Level: Analyst
Job Title: [Analyst]
Employment Type: Full Time
Location: Mumbai (Nirlon Knowledge Park)

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

LCD comprises of 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 Firm and LCD strategy.
Team: Global Compliance Rules Management - Central Office
The Global Compliance Rules Management Office (Rules Management Office) is responsible for managing the Legal and Compliance Division's rules management framework and maintaining the Firm's rules management system, called Themis.
The successful candidate will work collaboratively with divisional, regional and functional Rules Management teams to help them standardize their processes, realize efficiencies, and meet the governance standards established by the Central Office.

QUALIFICATIONS
Primary Responsibilities

Rules and Regulatory Change Event administration, including but not limited to: Data entry to action Regulatory Change Events and create/edit Rules as per instructions by Rules Management Teams, QA check of key data points while actioning or editing, and periodic data remediation as requested
Running/preparing reports for distribution of Regulatory Change Event activity on a defined frequency
Interaction with key stakeholders including Global Compliance, Compliance offshore, Compliance Coverage and regional and divisional teams, and Rules Management teams outside of LCD
Ongoing update and refresh of team procedures documenting processes
Management of the Outlook Shared Inbox and SharePoint
Production of reporting for submission to senior management and Audit Committee
Other projects as assigned

Requirements

Experience

1-3 years of experience in a Compliance function
Excellent consulting skills (e.g., critical thinking, problem solving, decision making, and influencing)
Excellent organization skills and ability to multi-task in a dynamic, fast paced environment
Ability to work independently with minimal supervision, but also in a team environment
Ability to learn new systems
Strong attention to detail
Strong interpersonal skills and the ability to work with cross-functional teams across the firm globally, including interaction with senior management

Skills and Qualities

University graduate, equivalent degree or work experience
Strong computer and software skills; proficient in Microsoft Office: Word, Excel and PowerPoint, as well as Adobe Pro
Intermediate to advanced Excel, advanced V-look up essential, some basic Macro skills would be an advantage
Prior experience in financial services would be an advantage
Familiarity with Reporting/Business Intelligence Tools such as SAP/Business Objects, Cognos, Tableau

Coverage

Monday to Friday from 4:00 PM to 1:00 AM India time with flexibility on standard working hours for time sensitive matters (may include India Public Holidays).
Periodic calls with AMER internal clients