We're seeking someone to join our team as an 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 an Associate position within the Oversight, Monitoring and Testing, this team continuously monitored to detect unusual or potentially suspicious activities. The exceptions generated are reviewed or investigated by applying a risk-based approach, which involves considering available information pertaining alongside the risk tolerance of the Firm with respect to money laundering.

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 surveillance items flagged as potentially suspicious transactions or exceptions in accordance with the guidelines set forth in the GFC Procedures Manual.




Review account activity of Morgan Stanley clients using client info, transactional activity and perform a review of account documentation to resolve alerts of any such clients in accordance with the GFC Procedures Manual.
Perform outreach to client relationship/sales teams or other areas within Morgan Stanley in accordance with the GFC Procedures Manual to determine whether there is an explanation for the activity that triggered the alert.
Escalate any questions or potentially suspicious activity found to the Morgan Stanley contact designated in the GFC Procedures Manual for further investigation.
Review and analyze surveillance items identified as part of "below-the-line" testing, risk engine tuning and lookback activities.
Draft dispositions summaries that support the alert review outcomes, ensuring documents are explicit and concise while complying with regulatory expectations.
Ensure a high-quality work product

📌 Gfc Transaction Monitoring, Associate, Oversight, Monitoring And Testing Mumbai
🏢 Morgan Stanley
📍 Mumbai