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Job Opening details:-
Company Name :-
Morgan Stanley
Position Name :- Associate- CS

Company Location :-
Mumbai, Maharashtra
Job Category :-
Jobs in Pune

Full Job Description :-
Associate- CS

Job Number: 3208752
POSTING DATE: Apr 4, 2022
PRIMARY LOCATION: Non-Japan Asia-India-Maharashtra-Mumbai (MSA)
EDUCATION LEVEL: Bachelor’s Degree
JOB: Other
JOB LEVEL: Associate

Job Description

Division: Legal & Compliance (LCD)
Super – Department: Legal
Department: Law Institutional Securities
Sub-Department: Multi-function offices/CCs
Region: INDIA
Job Level: Associate
Job Title: India Compliance
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.

? Corporate Secretarial is a global group based in AMER, EMEA and APAC.
? Corporate Secretarial is a group within the Legal and Compliance Division of Morgan Stanley.
? The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to onshore corporate secretarial team in the Legal and Compliance Division.
? This role will form part of offshore Legal and Compliance Department in Mumbai.

Primary Responsibilities (Day Job)
Primary Responsibilities

Assisting Morgan Stanley’s India onshore compliance team, which provide compliance coverage to business units engaged in Institutional Stock Broking, Primary Dealership, Foreign Exchange Dealership, Depository Participant, Merchant Banking, Research and Alternative Investment Fund.
Assist in tracking new regulations on a daily basis and briefing the team.
Assisting in submission of various regulatory reports to be filed with RBI, SEBI, NSE, BSE, NSDL, CCIL and other regulators
Assisting in regulatory inspections / audits and periodic information to be shared with Board of Directors.
Resolving KYC queries from Operations / Client Onboarding teams
Assisting in ensuring high standard of corporate governance, monitoring compliances, record keeping and provide relevant compliance support for India.
Making recommendations to enhance improvement in processes
Assisting India Compliance team in various projects / initiatives
Assisting Corporate Secretarial team in adhoc activities


A qualified Company Secretary or any other professional qualification.
Prior experience of 2 to 3 years in a similar role in a reputed financial services firm.
Strong verbal and written English communication skills.
Willingness to learn new things and work in a challenging environment.
Experience in Microsoft Office Suite (Word, Excel, Power Point)


? Completed Company Secretarial course
? Strong verbal and written communication skills and technical capabilities are essential
? Excellent written and spoken English
? Experience in Microsoft Office Suite (Word, Excel, Power Point)

Skills and Qualities

? Team player who can successfully manage multiple projects and priorities
? Ability to think independently, form opinions and make decisions
? Ability to anticipate ahead of time and escalate issues as appropriate
? Pragmatic and analytical problem solving skills – candidate needs to consistently apply sound judgment
? Excellent verbal and written English communication skills ? ability to effectively correspond with various groups and senior professionals over email and the telephone
? Must be able to maintain a high level of organization under pressure
? Successfully meet established deadline requirements ? display efficient time management skills
? Experience in stakeholder management with excellent interpersonal skills and the ability to work effectively
? Ability to identify and recommend process efficiencies
? Attention to detail


? Monday to Friday from 9:00 AM to 6:00 PM. Coverage is dependent on business needs, so flexibility is expected from candidates

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