Division: Legal and Compliance (LCD)
Super – Department: Global Compliance
Department: Shared Services Compliance
Sub-Department: Registration and Licensing
Job Level: Associate
Job Title: [Registration and Licensing 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 is comprised 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.
The Registration team is part of Shared Services Compliance and services Morgan Stanley Wealth Management (WM), Institutional Securities Group (ISG), Morgan Stanley Investment Management (MSIM), and E*TRADE Securities and is responsible for obtaining and maintaining the securities licenses for the Firm, its employees and branch offices. The team is responsible for supporting all aspects of the registration and licensing processes to ensure that the regulatory requirements for the Firm and its registered employees are compliant.
? Analyzing, filing, maintaining, and updating qualification, and employment for all prospective and current employee
? Maintaining records for all registered employees of the Firms serviced
? Perform periodic review and analysis of departmental process, procedures and policies
? Demonstrate strong client-relations skills and ability to partner with business and control functions to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
? Provide advice and training to employees regarding licensing, examination requirements and continuous professional training matters
? University degree and/or professional qualification preferably in Accounting, Law, Finance or Business
? The ideal candidate will have 2 years professional experience in Registrations and Licensing at a financial institution
Skills and Qualities
? Experience in resolution of issues.
? Good communication skills ? written and oral.
? Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
? Knowledge of licensing requirements in other jurisdictions advantageous
? Experience in conducting fit and proper checks related to licensing and registrations
? Possess strong analytical / reasoning skills
? Be able to handle highly confidential information professionally and with appropriate discretion
? Have the ability to use various PC, MS Office and internet applications
? Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
? Be self-motivated and must have the ability to work independently
? Monday to Friday from 1.30PM to 10.30PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays).
? Periodic evening calls with US internal clients
Title: Associate – Registration and Licensing Analyst
Location: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
Requisition ID: 3215900