JOB POST: Associate [Legal & Compliance] at Morgan Stanley, Mumbai: Apply Now!

Morgan Stanley in India is looking to hire for the job role of Associate for its LCD Department that comprises of Legal, Compliance, Global Financial Crimes, and Regulatory Relations, in Mumbai.

About Morgan Stanley

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 700 offices in 42 countries.

As a market leader, the talent and passion of our people are 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, achieve, and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of our culture.

Job Description

  • Review and analyze trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities
  • Conduct investigations on irregularities and abnormal activities and document findings
  • Participate in defining and documenting the operating processes for processing Monitoring reports
  • Help the senior manager in making the team and processes more efficient
  • Create Management Information Reports on a periodic basis
  • Escalate unresolved issues or potential violations of Morgan Stanley’s policies or external rules and regulations to his/her Manager, Coverage Compliance, and Senior Management of Business Units
  • Interaction with IT
  • Work with IT and/or vendors in enhancing/ developing new tools
  • Participate in testing/ requirement drafting of new models/reports

Job Role Requirements

Qualifications and Experience

  • 0 -6 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
  • Preference will be given to candidates with relevant experience in Trade Surveillance
  • Industry qualifications i.e. Post Graduate / MBA in Finance
  • Knowledge of global markets/market regulations

Skills and Competencies

  • Possess excellent knowledge of financial instruments and markets.
  • Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets.
  • Should possess knowledge of trade booking and settlements
  • Desirable 12 months experience in a similar profile/industry.
  • Understanding the implications of risk involved.
  • Excellent verbal and written English communication skills – Ability to effectively correspond with various groups and senior professionals over email and the telephone
  • Strong Analytical Skills and attention to detail
  • Experience interpreting laws or regulations
  • Knowledge of trade booking and settlements
  • Must be able to maintain a high level of organization under pressure

Working Hours

  • Monday to Friday from 09:00 AM to 6:00 PM India time
  • Flexibility on standard working hours for time-sensitive matters (including India Public Holidays)


Mumbai, Maharashtra

Click here for the official details about the role.

To apply for the job role at Morgan Stanley, click here.

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