We're seeking someone to join our team as a Associate in the Legal and Compliance division.

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 a 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:
Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review
Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary
Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate




Assist in finding trends and patterns of high-risk clients/ traders, by analyzing their trading activities
Creating and Presenting Management Information Packs on a periodic basis
Assist in identifying any coverage gaps, quality issues to help improve program effectiveness
Support tuning and optimization efforts to help create efficiencies
Assisting with the design and deployment of recent controls, in addition to the enhancement and calibration of existing controls
Support regulatory inquiries, regulatory inspections, internal audits by providing requested data / addressing respective queries
Assist in the delivery of surveillance related projects or initiatives

Interaction with IT
Work with IT and / or vendors in enhancing/ developing current tools.
Participate in testing/ requirement drafting of current models/reports.

What you'll bring to the role:
Industry qualifications i.e. Post Graduate / MBA in Finance / CFA or simi

📌 Global Compliance, Associate, Oversight, Monitoring And Testing Mumbai
🏢 Morgan Stanley
📍 Mumbai