Job Description

Global Compliance: Rules Management and Policy Office Support Associate


Job Number: 3223800
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


Role: Global Compliance: Rules Management and Policy Office Support
Division: Legal & Compliance (LCD)
Super - Department: AMER Rules Management and Policies
Department: Compliance
Sub-Department: AMER Rules Management and Policies
Region: AMER
Job Level: Associate
Job Title: Global Compliance: Rules Management and Policy Office Support Associate
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 (GFC) 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-Tax Evasion (ATE), Antiboycott, 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 Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.

Team: Global Compliance Rules Management Office and Policy Office
The 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 Global Policy Office (Policy Office) supports policy governance across the Firm. Part of its remit is the maintenance of the PolicyPortal, which serves both as a searchable repository for policies, procedures, and related documents and as a content management tool for entitled users.

The successful candidate will work collaboratively with the Rules Management Office and Policy Office teams, the technology teams who support related systems, and with members of regulatory change tracking teams and policy teams both inside and outside Legal and Compliance.

QUALIFICATIONS
Rules Management and Policies Responsibilities That This Role Will Support

This role will support rules management and policies teams in fulfilling their responsibilities, especially concerning aspects of these responsibilities that involve online and technology tools and leverage Morgan Stanley platforms, including:
Themis, the Firm's Rules Management System
Related Rules Management Reporting: Cognos reports, Tableau Dashboards
Use of vendor hosted content: Thomson Reuters Regulatory Intelligence
PolicyPortal, the Firm's Policy site
Quark, a content authoring tool integrated with PolicyPortal
Primary Responsibilities

The tasks for the Global Compliance Rules Management and Policy Office Support include, among others:

Business administration and support for Themis and PolicyPortal/Quark, including
Assisting all customers and providing support for application production bugs. Addressing user questions, user issues and user requests regarding the technology tools.
Troubleshooting and analyzing production bugs and user issues.
Investigating issues in partnership with IT, L2 and end users.
Logging bugs/issues in JIRA tracking system
Working with the IT team, support team, and System Manager for bug fixes or enhancements
Defining test cases and performing UAT. Assisting with production releases. Performing sanity testing.
Maintaining and updating application's master data and reference data.
Running reports necessary for review and maintenance of data
Performing system configuration and entitlements updates
Maintaining support procedures and process documentation
Reviewing application transaction data in Excel for accuracy and validation, and uploading Excel files into system
Additional tasks as needed or requested
Requirements

Skills required (essential)

Undergraduate degree
2- 4 years relevant work experience (in any of the following fields: Business Analyst, Application support for business users, Application administration, Level 1-2 support, System testing, Business Administration)
Proficiency with Excel, MS Word, and IT systems generally
Experience in working on a technology tool.
Strong analytical and creative problem-solving skills; ability to generate creative alternatives to identified issues
Detail-oriented with ability to multi-task, effectively prioritize responsibilities and produce results
Interest in, or appreciation for, technology
Strong relationship-building skills; ability to develop and foster trust-based relationships with the various business lines supported; ability to influence at all levels without direct authority
Excellent written and oral English communication skills
Skills Desired

Experience with data management, excel macro and ticketing system.
Program management and project management experience
Experience with Business Intelligence software such as Cognos and/or Tableau is an advantage
Agile/Waterfall SDLC knowledge and experience is preferred
Compliance, regulatory and/or financial industry experience

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